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2004-12-13 City Council (14)
TO:HONORABLE CITY COUNCIL 13 FROM: DATE: SUBJECT: CITY MANAGER DEPARTMENT: UTILITIES DECEMBER 13, 2004 CMR:510:04 APPROVAL OF MEMORANDUM OF UNDERSTANDING WITH SANTA CLARA VALLEY WATER DISTRICT (SCVWD) TO IMPLEMENT A WATER CONSERVATION PROGRAM PARTNERSHIP IN THE AMOUNT OF $96,405 RECOMMENDATION Staff recommends that Council: Approve the Memorandum of Understanding (MOU) between City of Palo Alto and Santa Clara Valley Water District (SCVWD) to continue to promote and implement water conservation programs for Palo Alto residents and utility customers for FY 2004/2005 at an annual cost of $96,405. Authorize the City Manager or his designee to exercise the option to renew the program partnership for FY2005/2006 and FY2006/2007, provided funds are available andlncluded in each year’s Water Fund operating budget. BACKGROUND In December 1991, City Council approved a Memorandum of Understanding (MOU) with the California Urban Water Conservation Council (CUWCC), CMR:550:91, that promoted the 14 Best Management Practice (BMP) water conservation strategies. There are significant legislative efforts to make BMP implementation mandatory in the future. In September 2002, Council approved CMR: 359:02, which included an MOU with SantaClara Valley Water District (SCVWD) to cost-share the development and implementation of water conservation programs. As part of the overall water conservation efforts and to comply with CUWCC BMP, the City of Palo Alto Utilities (CPAU) and SCVWD have partnered the last four years to promote and cost-share water conservation programs for CPAU customers. To date, the City has fully implemented six of the 14 BMP (Attachment B) strategies, including: CMR:510:04 Page 1 of 4 System Water Audits Metering with Commodity Rates High Efficiency Clothes Washers Public Information Program Conservation Pricing Conservation Coordinator Additionally, CPAU will be submitting the following BMP reports for programs implemented during the next reporting period 2003 and 2004: Residential Water Surveys . Large Landscape Conservation . School Education The remaining five BMP water conservation programs have not been implemented and partnership with SCVWD would not affect the City’s involvement for several reasons: The programs are staff resource intensive. Full implementation of the remaining programs would necessitate the hiring of additional staff. Program implementation could cause an upward impact on water rates in order to pay for program marketing and rebates. If all the BMPs are implemented at the same time, water revenue will be impacted because of declining consumption through conservation. IIISCUSSION There are a total of ten cost-sharing programs, nine water conservation programs and one marketing and outreach program (Attachment D) that SCVWD will be administering and implementing for CPAU. Marketing for water conservation will be shared between SCVWD and CPAU. SCVWD will provide staffing and administration for the remaining nine programs including program reporting. Implementation and administrative functions for these programs (e.g. provide scheduling, budget tracking and invoicing, contractor oversight, customer service, and project reporting associated with program implementation) will be handled by the SCVWD staff in San Jose. These water conservation programs and water savings are concurrent with the Water Conservation Savings Potential Information Report (CMR:395:04) presented to Council on September 13, 2004. Three different portfolios were presented in this report; nine of the measures discussed in that report are included in the proposed cost-sharing agreement with SCVWD. The following table provides a summary of the water conservation programs to be implemented with SCVWD. The program numbers correspond to Attachments A and C. CMR:510:04 Page 2 of 4 COST-SHARING PROGRAM Program I Water-Wise House Carl Program II ET Controller Program III High Efficiency Toilet Program IV ITAP Program V Commercial ULFT Program Vl Commercial Clothes Washer Program VII Pre-Rinse Sprayer Program VIII Residential Clothes Washer Rebate Program IX Marketing Program X Oedicated Irrigation Meter CUSTOMER TYPE Residential Residential / Commercial Residential Residential / Commercial Commercial Sommercial iCommercial Residential Residential / Commercial Residential / Commercial PROGRAM DESCRIPTION Program provides free site surveys to single-family homes as well as multi-family dwellings. Survey includes an interior evaluation (showerheads, aerators, and/or flappers will be replaced when needed) and an exterior evaluation that includes a watering schedule. Program provides Evotranspiration (ET) Controllers for residential and commercial landscapes with functioning standard irrigation controllers. Program participants can opt for direct or self- installation. Program provides a $125 rebate for the replacement of non-Ultra Low Flush toilets with High Efficiency (pressure-assisted 1-gallon per flush) and Dual-Flush toilets. Program provides free site evaluations to assist property owners in better managing their water use and improve their irrigation efficiency. Sites must have at least an acre of irrigated landscape to participate. Program provides full service toilet replacement program to high end use commercial facilities such as restaurants, food stores and gas stations. Program provides rebates for the purchase of qualifying commercial grade high-efficiency clothes washers. Program installs high-efficiency pre-rinse spray valves to restaurants and kitchens. Program to provide tiered rebates to residents for purchasing a high-efficiency clothes washer. This program is partially funded by a DWR Prop.13 grant. SCVWD will send CPAU marketing pieces before mailings are sent to public. Program provides dedicated irrigation water meters for high water users that are currently on a mixed-use meter. FUNDING SCVWD/CPAU GrantJSCVWD/ CPAU SCVWD/CPAU SCVWD/CPAU SCVWD/CPAU SCVWD/CPAU Grant/SCVWD/ CPAU GrandSCVWD/ SPAU SCVWD/CPAU Srant/SCVWD/ SPAU Advantages to partnering with SCVWD include: ¯ Significantly lower costs of implementing the water conservation programs because SCVWD infrastructure is already in place, with adequate staffing and technical expertise. Past experience with SCVWD has been positive and is a significant reason for seeking to expand the collaboration to include additional conservation services. Leveraging of technica! expertise between the organizations o Minimizing program stm’t-up costs ¯Reducing demands on City staffing resources associated with in-house ianplementation RESOURCE IMPACT The total cost of the program is approximately $190,000. CPAU is directly contributing $96,405 (Attachment C). The balance of the total program costs, as well as most of the administrative costs associated with implementation of the water conservation programs, see Attachment D, Cost-Sharing Program, will be absorbed by SCVWD. Funds for the program in the amount of $96,405 are included in the FY 04/05 Water Fund operating budget. CPAU has confi~rned that the State’s recent takeaway of funds from SCVWD will not impact this cost-sharing agreement. For this fiscal year, SCVWD encumbered funding for the cost-sharing programs. The City proposes to continue the successful partnership with SCVWD by offering three additional water conservation programs in 2004: ET controllers, dedicated irrigation meters, and a residential CMR:510:04 Page 3 of 4 clothes washer rebate. Last fiscal year the ’CPAU fully fianded a residential clothes washer rebate program at a cost of $76,000. By partnering with SCVWD, Palo Alto residents will receive the same rebate amount with CPAU funding one-third of the cost, a savings of $33,000. This partnership allows CPAU to leverage grant monies for these programs and spend $10,000 less for the combined program offerings. Implementation of the proposed conservation progn’ams will slightly reduce the City’s water consumption and thus reduce water revenues to the utility. However, implementing these water conservation programs will decrease Palo Alto’s susceptibility to future water shortages by reducing water consumption and leaving more water available during potential water shortages. The San Francisco Public Utilities Commission (SFPUC) and the wholesale customers of the regional water system (including Palo ~Alto) signed the Interim Water Shortage Allocation Plan (IWSAP) in 2001. The IWSAP establishes a fixed percentage of water to be provided to all wholesale customers during a future drought. Thus, conserving water in Palo Alto may reduce the severity of future cutbacks that Palo Alto customers will face in a future drought. POLICY IMPLICATIONS This recommendation is consistent with the Council approved Utilities Strategic Plan, specifically: Supporting Objective No.l: Enhance customer satisfaction by delivering valued products and services and Key Strategy No.7: Implement programs that improve the quality of the environment. The recommendation is also in line with the City Comprehensive Plan N-24: Maintain City-wide water conservation and efficiency programs for all customer classes. ENVIRONMENTAL REVIEW This is not a project under the California Environmental Quality Act (CEQA). ATTACHMENTS A: B: C: D: E: Memorandum of Understanding List of Best Managelnent Practices Co-Funding Amounts Cost-Sharing Program Urban Water Conservation Outlay Grant Contract PREPARED BY:KI~BROWN~’-~ Utilities Account Representative DEPARTMENT HEAD: CITY MANAGER APPROVAL: JOHN Direc HARRISON Assistant City Manager CMR:510:04 Page 4 of 4 Attaclm ent A MEMORANDUM OF UNDERSTANDING BETWEEN THE SANTA CLARA VALLEY WATER DISTRICT AND THE CITY OF PALO ALTO FOR RESIDENTIAL AND COMMERCIAL WATER CONSERVATION PROGRAMS Fiscal Year 2004 - 2005 This MEMORANDUM OF UNDERSTANDING (MOU) between the Santa Clara Valley Water District (hereinafter referred to as DISTRICT) and the City of Palo Alto (hereinafter referred to as PALO ALTO) sets forth the respective roles of the DISTRICT and PALO ALTO in regard to the DISTRICT’S RESIDENTIAL AND COMMERCIAL WATER CONSERVATION PROGRAMS (hereinafter referred to as PROGRAMS) is made and entered into as of ,2004. RECITALS WHEREAS the PROGRAMS involve providing a variety of strategic residential and commercial water conservation programs (see APPENDIX); and WHEREAS these water conservation PROGRAMS are appropriate Best Management Practices for residential, commercial, industrial and institutional accounts addressed in the MOU regarding Urban Water Conservation in California; and WHEREAS Palo Alto wishes to participate in said PROGRAMS; NOW, THEREFORE, in consideration of the recitals and mutual obligations of the parties herein expressed, DISTRICT and PALO ALTO agree as follows: 1.DISTRICT’S RESPONSIBILITIES a) Administration of PROGRAMS I, II, 111, IV, V, Vl, VII, VIII, IX (see APPENDIX). b) Collection of data to determine usage and water savings. Data will be put together by the DISTRICT and provided to PALO ALTO. c) Administration of all PROGRAM funds. d) Invoicing PALO ALTO on a quarterly basis for each of the PROGRAMS (aggregate invoice, broken down by program). e)Work cooperatively with PALO ALTO in appropriately advertising the PROGRAMS to targeted customers. f)Meet with PALO ALTO staff on a quarterly basis to discuss the various program statuses and outreach strategies. g)Verification of qualifying installed program measures. h)DISTRICT agrees to pay, co-funding amounts as described in APPENDIX. i)Make payment to PALO ALTO within 60 days of receipt of invoice from PALO ALTO. 2.PALO ALTO’S RESPONSIBILITIES a)Implementation of PROGRAM X, including payment of installation costs of ten (10) dedicated irrigation meters at approved sites. b) Track all staff time spent on Program X on a spread.sheet provided by District, which will then be filled out and sent back to District along with monthly invoices. District will then submit this to DWR for grant funding reimbursement. c)Invoicing DISTRICT on a monthly basis for PROGRAM X (aggregate invoice). d)Identification and notification of all prospective Palo Alto participants in all program offerings, e)Work cooperatively with DISTRICT in appropriately advertising the PROGRAM to the targeted customers. f)Provide DISTRICT with electric and water usage records and other data necessary to determine savings and cost effectiveness of the various PROGRAMS. g) PAL(::) ALTO agrees to pay co-funding amounts as described in APPENDIX. h) Make payment to DISTRICT within 60 days of receipt of invoice from DISTRICT. CEQA DISTRICT shall be responsible for assuring that the PROGRAMS comply with the requirements of the California Environmental Quality Act (CEQA) and that all necessary documents have been filed. 4.HOLD HARMLESS AND LIABILITY PALO ALTO and DISTRICT each agree to mutually indemnify, defend at its own expense, including attorneys’ fees, and hold each other harmless from and against all claims, costs, penalties, causes of action, demands, losses and liability of any nature whatsoever, including but not limited to liability for bodily injury, sickness, disease or death, property damage (including loss of use) or violation of law, caused by or arising out of or related to an negligent act, error or omission, or willful misconduct of that party, its officers or employees, or any other agent acting pursuant to its control and performing under this agreement. 5.DOCUMENT REVIEW DISTRICT and PALO ALTO will make available for inspection to the other party, upon reasonable advance written notice, all records, books and other documents relating to the PROGRAMS. 6.TERM, The term of the MOU shall be from December 1, 2004 throu,qh June 30, 2005, or until funds are depleted. The term of the MOU may be extended by mutual consent of the Parties. This MOU shall be contingent upon approval of program funding each fiscal year by the DISTRICT’s Board of Directors and PALO ALTO’s City Council. In the event such contingency is not met, this MOU shall terminate at the beginning of the fiscal year for which funding is not approved. 7.NOTICE Any notice, payment, credit or instrument required or permitted to be given hereunder shall be deemed received upon personal delivery or five (5) days after deposit in any United States mail depository, first class postage prepaid and addressed to the party for whom intended; or on the same day as a facsimile or email transmission is sent as long as original is placed in the mail on the same day. If to DISTRICT:Santa Clara Valley Water District 5750 Almaden Expressway San Jose, CA 95118-3614 Attn: Karen Morvay, Water Conservation Specialist Facsimile: (408) 979-5639 If to PALO ALTO:City of Palo Alto Utilities 250 Hamilton Ave., 3rd FI. Palo Alto, CA 94301 Attn: Kim Brown, Residential Program Manager Facsimile: (650) 617-3140 Either party may change such address or contact person by notice given to the other party as provided herein. 8. AMENDMENTS The MOU may be amended as circumstances necessitate by written agreement executed by both parties. 9.ASSIGNMENT Neither party shall assign, sublet, or transfer this agreement or any of the rights or interests in this agreement without the written consent of the other party. -2- 10. SEVERABILITY The partial or total invalidity of one or more parts of this MOU will not affect the intent or validity or remaining parts of this MOU. 11. GOVERNING LAW This MOU will be deemed a contract under the laws of the State of California and for all purposes shall be interpreted in accordance with such laws. 12. TERMINATION OF AGREEMENT This MOU may be terminated by either party hereto for any reason upon thirty- (30) days written notice to the other Party. 13. SIGNATURES The individuals executing this MOU represent and warrant that they have the legal capacity and authority to do so on behalf of their respective legal entities. In WITNESS WHEREOF, the parties have executed this MOU as of the effective date. CITY OF PALO ALTO, CALIFORNIA APPROVED AS TO FORM: Grant Kolling Senior Assistant City Attorney ATTEST: John Ulrich Director, City of Pal Alto Utilities Frank Behest City Manager Address: 250 Hamilton Ave., 3rd FI. Palo Alto, CA 94301 Telephone: 650.329.2241 Facsimile: 650.617.3140 SANTA CLARA VALLEY WATER DISTRICT APPROVED AS TO FORM: EMILY J. COTE Assistant General Counsel STANLEY M. WILLIAMS Chief Executive Officer Address: 5750 Almaden Expressway San Jose, CA 95118 Telephone:408.265.2600 Facsimile:408.267.3127 List of Best Management Practices Attachment BMP1 BMP 2 BMP3 BMP 4 BMP 5 BMP 6 BMP 7 BMP 8 BMP 9 BMP 10 BMP 11 BMP 12 BMP 13 BMP 14 Residential Water Surveys Indoor and outdoor audits of residential water use and distribution of water-savings devices. Residential Plumbing Retrofits Distribution or installation of water-saving devices in pre- 12992 residences System Water Audits Unaccounted for water calculated ammally, and distribution system audits as required Metering with Commodity Rates Metering of consumption and billing by volume Large-Landscape Conservation ET based water budgets for large landscape irrigators High Efficiency Clothes Washers Rebates for efficient washing machines Public Information Public h~formation to promote water conservation School Education Provision of educational materials and services to schools Industrial, Commercial, and Institutional Conse’rvation Programs to increase water use efficiency in ICI sectors Wholesale Agency Assistance Support by wholesalers for conservation programs of retail water suppliers Conservation Pricing Uniform or increasing block rate structure, volume-related sewer charges, and service cost recovery Conservation Coordinator Designation of agency conservation programs Water Waste Prohibition Enforced prohibition of wasteful use of water Residential ULFT Replacement Programs promoting replacement of high water using toilets with ultra- low flow-toilets Attachment C Palo Alto / SCVWD Water Conservation Programs - Cost Sharing Amounts Santa Clara Valley Water District administers: Progrant Designation Program 1 Program II Program III Program IV Program V Program Vl Program VII Program Description Water-Wise House Call Program ET Controllers High Efficient Toilets (HET) hTigation Technical Assistance Program (ITAP) Comlnercial Ultra Low Flow Toilet (ULFT) Program Commercial Washing Machine Rebate Program Pre-rinse spray valve hastallation Proposed Number to be Accomplished Pet" Year 300 4O 3O I0 25 25 200 CPA U Cost-Per ltleaslll’e $50 - Audit $315 - Monthly Administration $100 $75 $650 $225 $175 $5O Annual CPA U Program Cost $15,000 $3,780 $4,000 $2,250 $6,500 $5,000 $4,375 $10,000 Total Progrant Cost $50 per MFD audit, $55 per SFD audit, and $6,2501month in admin fees Per ET Controller Installed: Residential $260 Commercial $640 $125 per HET installed $650 - $850 per survey ~ $450 per installation $300 per rebate ($175 CPA + $125 SCVWD), also promotional and admin costs $42forsprayer, $30forinsmll(w/ cun~ntplumber contact) Estiutated Savings per Measure *Based olt the average of 2. 64personsper oc’cupied U,S. househohl Pre 1980:8672 gal/yr Post 1980:3276 gal/yr ET Resi: .348 AF/Year ET Small Corn: 1.75 AF/Year ET Large Corn: 3.98 AF/Year HET SF: 22.7 GPD Per Toilet HET MF: 43 GPD Per Toilet Potential saviugs of up to 800 ccf/acre/year ~ 45 gpd per ULFT for targeted market segments 32,000 gals/machine/yr ~ 20’0 gpd for each sprayer, + 2 themas/day Attachment C Palo Alto / SCVWD Water Conservation Programs - Cost Sharing Amounts Santa Clara Valley Water District administers: Progrant Designation Program VIII Program Description Residential Clothes Washer Rebate Program Proposed Number to be Accomplished Per Year 330 CPA U Cost-Per measlll’e Tier 1 : $58.33 Tier 2:$83.33 $150/monda admin fees Annual CPA U Program Cost $28,200 $900 Program IX Marketing and Outreach $6,400 SUBTOTAL $86,405 City of Palo Alto Implements: Total Progrant Cost $175 & $250 per rebate Tier 1:$58.33 CPAU + $116.66 SCVWD/GRANT Tier 2:$83.33 CPAU + $166.66 SCVWD/GRANT, plus admin fees Program X Dedicated Irrigation Water Meters 10 Per mete!" approx._ cost $1,000 PA will invoice SCVWD for cost of meter only. PA will cover cost of installation for first 10 sites. Estimated cost ~$10,000 (cost of meters only; # of meters may vm’y) $10,000 TOTAL $96,405 $10,000 (depending on # of meters installed) (PA will get reimbursed by SCVWD for cost of meters only. PA will pay for installation costs of 1~t 10 meters installed) Estimated Savings pet" Measttre *Basetl ott the ttverttge of 2.64 personsper occupied U.S, hottsehohl 6,450 gallons per washer per yem" saved ~ 15% water savings WATER CONSERVATION PROGRAMS FY 04-05 ATTACHMENT D Santa Clara Valley Water District Administers: Program Program I ~Vater- I,l, Tse House Call Program Program ET Controller Program Pro gwam Ill High E,[.f!eienqv Ultra LowJlow toilet ~l*ogpalll Program IV ITAP Program V Commercial ULFT Program Program VI Commercial Clotha~ Wca’hers Progwam VII Pro-Rinse Sprayer Program Pro gq’am VIII Residential Clothes ~gaxher Rebate Program Progrmn LX lPdarketing Program X Dedicated Irrigation l~4eter Program BMP and Description Blk~l Residential Water Surveys BMP 5 Large Landscape Conservatiou BMP 14 Residential ULFT Replacement BMP 9 h~dustrial, Colnmerciai, and h~stitutional Conservation BiVfP 9 hadustrial, Commercial, and h~stitutional Conservation BMP 9 h~dustrial, Conmaercial, and la~stitutional Conservation BMP 9 Industrial, Commercial, and Institutional Conserw~tion BMP 6 High Efficiency Clothes Washers BMP 7 Public Information ProgTam BMP 4 Metering with Con=nodity Rates Customer Type Residential Residential / Commercial Resldential Residential / Commercial Commercial Connnercial Conzanercial Residential Residential / Conamercial Residential / Commercial Program Description ProgTmn provides flee site surveys to single- /hmily homes as well as multi-Family dwellings. Survey inclndes an interior evalumion (showeNeads, aerators, ancVor flappers will be replaced when needed) and an exterior evaluation that hMudes a watering schedule. Progn’am provides ET Controllers for residential and commercial landscapes with functioning standard i~Tigation controllers. Proga’am participants can opt for direct or sell" installation. ProgTam provides a $125 rebate tbr the replacement of non-Ultra Low Flush toilets with High Efficiency (pressure-assisted 1- gallon per flush) and Dual-Flush toilets. Program provides fi’ee site evaluations to assist property owners in better namaglng their water use and improve their in’igation efficiency. Sites lnust have at least an acre of irrigated landscape to pm’ticipate. Program provides fifll service toilet replacement proga’am to high end use commercial thcilitles such as restanrants, food stores mad gas stations. Program provides rebates £br the purchase of qualifying commercial tg’ade high-efficiency clothes washers. Program iustalls high-efficiency pro-rinse spray valves to restaurai~ts and kitchens. Program to provide tiered rebates to residents ]lbr purchasing a high-efficiency clothes washer. This program is partially fimded by a DWR Prop. 13 gTant. Send CPAU marketing pieces tbr progranxs be~bre mailings are sent to public Program provides dedicated in’igation water meters for high water nsers that m’e currently on a mlxed-use meter. Funding SCVWD/CPAU Oranl/SCVWD/CPAU SCVWD/CPAU SCVWD/CPAU SCVWD/CPAU SCV WD/CPAU Cwant/SCVWD/CPAU Grant/SCVWD/CPAU S CVWD/CPAU AMOUNT $t8,7813 $ 4,00(3 2,2513 $ 6,500 $5,000 $4,375 $ 10,000 $ 29 100 $6,400 C~’ant/SCVWD/CPAU $10,000 TOTAL $ 96,405 04-05 SCVWD programs 1 ofl STATE OF CALIFORNIA -- THE RESOURCES AGENCY DEPARTMENT OF WATER RESOURCES 1416 NINTH STREET, P.O. BOX 9~-2836 SACR,:kMENTQ,CA 94236-0001 916) 653-579I M,~. Sig Sanchez, Chair Board of Directors Santa Clara Valley Water District 5750 Almaden Expressway San Jose, California 95t18 GRAY DAVIS, Governor Fully Executed Urban Water Conservation Capital Outlay Grant Contract E6701 8 - Safe Drinking Water, Clean Water, Watershed Protection, and Flood Protection Act (Proposition 13) Dear Mr. Sanchez: Enclosed is an original executed contract, E67018, between the Santa Clara Valley Water District and the California Department of Water Resources for a $100,000 Urban Water Conservation Capital Outlay Grant under the Safe Drinking Water, Clean Water, Watershed Protection, and Flood Protection Act (Proposition 13). This grant will fund SCVWD’s Dedicated Landscape Meter Program. The total program cost is estimated to be $202,155. The $102,155 difference will be funded by SCVWD’s Water Use Efficiency Unit Budget. In addition to execution of this contract, reimbursement for all costs that SCVWD incurs is contingent upon its ability to meet all requirements for disbursement of funds pursuant to this. contract. Before the State can disburse grant funds, you must complete the following: Prior to implementing the program, submit final specifications for the installation, inspection, and verification procedures for the project to: Office of Water Use Efficiency Department of Water Resources Post Office Box 942836 Sacramento, California 94236-0001 Attention: Marsha Pritlwitz The specifications must be certified by a California Registered Civil Engineer as to compliance with the approved project, and include a description of the installation, inspection and verification procedures that will be followed. In addition to the specifications, you must also submit an Initial Budget and Expenditure Summary (DWR Form 4135 enclosed) reviewed and signed by a Registered Civil Engineer. Expend the Local Agency’s Cost of $102,155 as provided in Section 5 of the enclosed contract. If you anticipate any delays that may prevent SCVWD from meeting tile above requirements by June 30, 2004 as stated in Section 6 of this contract, it is SCVVVD’s sni~ r=qnnn<ihi if\1 fn request, ip writinq, an amendment to the contract. This also Mr. Sig Sanchez, Chair Page 2 applies to the Project Completion Date of June 30, 2005, in Article A6 (a) of the contract. Any request to amend the contract must be submitted at least 60 days prior to the expiration date to allow DWR adequate review and approval time. Please see the enclosed Contract Amendment Guidelines for additional information on your responsibilities for administration of this contract. Also enclosed are copies of claim Forms 4135, 4135A, and 4135C, along with a sample of the completed forms. To assure timely processing when requesting grant funds, please submit an original and four copies of the forms and attachments to: Office of Water Use Efficiency Department of Water Resources Post Office Box 942836 Sacramento, California 94236-0001 Attention: Heidi West If you need further information or have any questions about claim forms, please contact Heidi West at (916) 653-4863. Sincerely, Enclosures Mark W. Cowin, Chief Division of Planning and Local Assistance CO:Mr. Hossein Ashktorab Water Use Efficiency Unit Manager Santa Clara Valley Water District 5750 Almaden Expressway San Jose, California 95118 Mr. Jerry De La Piedra Santa Clara Valley Water District 5750 Almaden Expressway San Jose, California 95118 Contract No. E6701 8 Urban Water Conservation Capital Outlay Grant - Dedicated Landscape Meter Project STATE OF CALIFORNIA THE RESOURCES AGENCY DEPARTMENT OF WATER RESOURCES "Received Deparm~ent ot’ Water Resource~ Di\’. Of Planning and Local Asst. Financial Assistance Unit CONTRACT BETWEEN THE STATE OF CALIFORNIA DEPARTMENT OF WATER RESOURCES AND SANTA CLARA VALLEY WATER DISTRICT FOR AN URBAN WATER CONSERVATION CAPITAL OUTLAY GRANT UNDER THE C.a.L!FORNIA SAFE DRINKING WATER, CLEAN WATER, WATERSHED PROYECTION AND FLOOD PROTECTION ACT E67 (Rev 8/02) Contract No. E67018 Section 1. 2. TABLE OF CONTENTS CONTRACT SPECIAL PROVISIONS Purpose of Grant .................................................................................. Incorporation of Standard Conditions, Security Requirements, Plans and Specificatio~qs, and Local Agency Commitments ......................... 3.Estimate of Project Cost ....................................................................... 4.Grant Amount ....................................................- .................................. 5.Local Agency’s Cost ............................................................................. 6.Requirements for Disbursement .............................................................. 7.Operation and Maintenance of Construction Project ................................... 8.Relationship of Parties Hereto ................................................................. 9.Permits, Licenses and Legal Obligations ................................................... 10.Local Agency’s Responsibility for Work Required. Under the Contract and Submission of Progress Reports ............................ 11.Project Officials and Notices ................................................................... A~icle A-1. A-2. EXHIBIT A GRANT CONTRACT STANDARD CONDITIONS Definitions ........................................................................................... Term of Contract .................................................................................. 1 1 1 1 2 2 2 2 2 3 PaQe A1 A1 E67 (Rev 8102) Contract No. E67018 Article A-3. A-4. A-e, A-7. A-S, A-9. A-IO. A-11, A-12. A-13. TABLE OF CONTENTS (continued) Paae Basic Conditions Precedent A1 Grant Disbursements by State A2 (a) Cost Statements ...........................................................................A2(b} Disbursement A3 Withholding of Grant Disbursements by State ...........................................A3(a) Conditions for Withholding .....................................................~ .......A3(b) Additional Conditions for Withholding ..............................................A3(c) Withholding Entire Grant Commitment .............................................A3(d) Withholding Balance of Grant Commitment .......................................A3 A3 (a) Project Completion Date ................................................................A3(b) Project Undertaking Pursuant to Contcact .........................................A3(c) Determination of Project Completion ................................................A4(d) Competitive Bidding of Contracts and Procurements ..........................A4(e) Final Inspection and Certification of Registered Civil Engineer ..............A4(f) Sign Referring to Safe Drinking Water, Clean Water, Watershed Protection and Flood Protection Act Financing .................................................A4(g) Acknowledgement of Credit (Non Construction Projects) .................... (h) Audit Requirement ........................................................................A4 Timing and Manner of Project Undertaking ............................................... Accounting and Deposit of Grant Proceeds ..............................................A4(a) Separate Accounting of Grant Proceeds and Interest Records ...............A4(B) Disposition of Money Disbursed ........................................... .............A5 (c) Remittance of Unexpended Funds ..................................................A5(d) Interim and Final Audits .................................................................A5 Reports on Expenditures and Project Completion ..................................A5 Inspections of Project by State ........................................................; ......A5 Prohibition Against Disposal of Project Without State Permission,.¯A5 Nondiscrimination Clause A5 Worker’s Compensation Clause ..............................................................A6 Successors and Assigns A6 Article A-14. A-15. A-,16, A-17. A-18. A-19. A-20. A-21. A-22. A-23. A-24, A-25. A-28 A~29 A-30 Contract No. E67018 TABL. E OF CONTENTS (continued) State to be Held Harmless .....................................................................A6 Remedies Not Exclusive .........................................................................A6 Amendments .......................................................................................A6 Opinions and Determinations ..................................................................A6 Contracting Officer of the State ..............................................................A7 Waiver of Rights ...................................................................................A7 Notices .....................................................................................~ ..........A7 Inspection of Books, Records, and Reports ...............................................A7 Suit on Contract ...................................................................................A7 Claims Dispute Clause .......................................... .................................A7 Documentation of Project Benefits and Costs .........: ............................................A7 (a) Actual Water Savings .........................................................................................A7 (b) Other Benefits and Costs ......................................................A8 Drug-Free Workplace Certification ...........................................................A8 (a) Certification of Compliance .............................................................A8 (b) Suspension of Payments .................................................................A8 Arnericans with Disabilities Act ...............................................................A8 Conflict of Interest ................................................................................A8 (a) Current State Employees .................................................................A8 (b) Former State Employees ........................................................................A9 No Third Party Rights .............................................................................A9 Severability .............................................................~ ............................A9 Termination ...........................................................................................A9 iii E67 (Rev 8/02) Article B-1. B-2, Contract No. E670i 8 TABLE OF CONTENTS (continued) EXHIBIT B GRANT CONTRACT SECURITY REQUIREMENTS Performance and Assurances ......................................................................... Default Provisions ......................................................................................... B1 B! EXHIBIT C PROJECT DESCRIPTION E67 (Rev 8/02) IV Contract No. E670i8 STATE OF CALIFORNIA THE RESOURCES AGENCY DEPARTMENT OF WATER RESOURCES CONTRACT BETWEEN STATE OF CALIFORNIA DEPARTMENT OF WATER RESOURCES AND SANTA CLARA VALLEY WATER DISTRICT ’ UNDER THE SAFE DRINKING WATER, CLEAN WATER, WATERSHED PROTECTION, AND FLOOD PROTECTION ACT URBAN WATER C~ONSERVATION PROGRAM (Water Code Section 79150 et. seq.) THIS CONTRACT, entered into by and between the State of California, acting by and through its Department of Water Resources, herein referred to as the "State" and the Santa Clara Valley Water District a local agency as defined by Water Code Section 79151(f), in the County of Santa Clara State of California, duly organized, existing, and acting pursuant to the laws thereof, herein referred to as the "Local Agency", which parties do hereby agree as follows: CONTRACT SPECIAL PROVISIONS SECTION 1. PURPOSE OF GRANT This Grant is made by the State to the Local Agency to assist in financing an .Urban Water Conservation Project pursuant to Chapter 8 (commencing with Section 79150) of Division 26 of the California Water Code. Grant funds may be used only as provided in this contract for such.Eligible Project Costs as set forth in the Project Description, a copy of which is incorporated herein and attached as Exhibit C, approved by the State and revisions thereof. The project shall be defined further by detailed plans and specifications. SECTION 2.INCORPORAT ON OF STANDARD CONDITIONS, SECURITY REQUIREMENTS, AND LOCAL AGENCY COMMITMENTS This Contract incorporates Exhibit A, "Grant Contract Standard Conditions" (hereinafter referred to as ’tStandard Conditions"); Exhibit B, "Grant Contract Security Requirements"; Exhibit C "Project Description"; and any attachments thereto. The Local Agency accepts and agrees to comply with all terms, provisions, conditions, and commitments of this Contract, including all incorporated documents, and to fulfill all assurances, declarations, representations and statements made by the Local Agency in the application, documents, amendments ’and communications filed in support of its request for Safe Drinking Water, Clean Water, Watershed Protection, and Flood Protection Act financing. SECTION 3.ESTIMATE OF PROJECT COST The reasonable cost ofthe Projectis estimated to be $202,155 . SECTION4.GRANT AMOUNT Pursuant to the California Safe Drinking Water, Clean Water, Watershed Protection, and Flood Protection Act and subject to the availability of funds, the State will grant to the Local Agency in accordance with the terms of this Contract an amount not to exceed $100,000 SECTION 5. LOCAL AGENCY’S COST The Local Agency agrees to fund the difference, if any, between the estimate of the Project Cost (Section 3)and the Grant Amount (Section 4). Said Local Agency’s costs are estimated to be $102.155 , and shall beexpended prior to the disbursement of State Grant funds. E67 (Rev 8/O2)-1 Contract No. E67018 SECTION 6. REQUIREMENTS FOR DISBURSEMENT The Local Agency shall by June 30, 2004 , meet all conditions precedent to the disbursement of money under this Contract, including Basic Conditions Precedent under Article A-3 of the.Standard Conditions. Failure by Local Agency to comply by this date may, at.the option of the State, result in termination of the Contract under Article A-5 of the Standard Conditions. SECTION 7. OPERATION AND MAINTENANCE OF CONSTRUCTION PROJECT For a period of 20 years after completion, which is the reasonable life expectancy of the Project, in consideration of the Grant made by the State, the Local Agency agrees to expeditiously commence and to continue operation of the Project and shall cause the Project to be operated in an efficient and economical manner; shall provide for all repairs, renewals, and replacements necessary to the efficient operation of the same; and shall cause the same to be maintained in as good and efficient condition as upon its construction, ordinary and reasonable wear and depreciation excepted. Refusal of the Local Agency to operate and maintain the project in accordance with this provision may, at the option of the State, be considered a materiai breach of Contract and may be treated as default under Article B-2 of Exhibit B. SECTION 8. RELATIONSHIP OF PARTIES HERETO The Local Agency, its contractors, subcontractors, and their respective agents and employees required for performing any work under this Contract shall act in an independent capacity and not as officers, employees, or agents of the State. The Local Agency is solely responsible for planning and implementation of the Project. Review or approval of plans, specifications, bid documents or other construction documents by the State is solely for the purpose of proper administration of Grant funds by the State and shall not be deemed to relieve or restrict the Local Agency’s responsibility. SECTION 9. PERMITS, LICENSES, APPROVALS AND LEGAL OBLIGATIONS The Local Agency shall be responsible for obtaining any and all permits, licenses and approvals requiredfor performing any work under this Contract, including those necessary for planning and implementing the Project. The Local Agency shall be responsible for observing and complying with any applicable federal, State and local laws, rules or regulations affecting any such work, specifically those including, but not limited to, environmental, procurement and safety laws, rules, regulations and ordinances. SECTION 10. LOCAL AGENCY’S RESPONSIBILITY FOR WORK REQUIRED UNDER THE CONTRACT AND SUBMISSION OF PROGRESS REPORTS The Local Agency shall submit quarterly progress reports on the status of the project to the Department of Water Resources. The submittal of these reports is a requirement for continued disbursement of State funds,. Progress reports shall summarize the work completcd during the reporting period, include a statement of progress toward completion compared to the project schedule, and provide a comparison of costs to date compared to the approved scope of work and project budget. The Local Agency shall be responsible for work and for persons or entities engaged in work, including, but not limited to, subcontractors, suppliers and providers of services. The Local Agency shall give personal supervision to any work required under this Contract or employ a competent representative, satisfactory to the State, with the authority to act for the Local Agency. The Local Agency or its authorized representative shall be present while work is in progress. The Local Agency shall give attention to fulfillment of the Contract and completion of the Project, and shall keep work under control. The Local Agency shall be responsible for any and all disputes arising out of its contracts for work on the Project, including but not limited to bid disputes and payment disputes with the Locai Agency’s contractors and subcontractors. The State will not mediate disputes between the Local Agency and any other entity concerning responsibility for performance of work. E67 (P, ev 8/02)-2- Contract No. E67018 SECTION 11. PROJECT OFFICIALS AND NOTICES The State Project Manager shall be the Chief, Division of Planning and Local Assistance, Department of Water Resources. The State Project Manager shall be the State’s representative and shall have the authority to make determination and findings with respect to each controversy arising under or in connection with the interpretation, performance, or payment for work performed under the Contract. Disputes shall be resolved in accordance with Article 28 of Exhibit A. The Local Agency Project Director shall be Chief Executive Officer . The Local Agency Project Director shall be the Agency’s representative for the administration of the Contract and shall have full authorit7 to act on behalf of the Agency, including authority to execute all payment requests. All communications given to the Project Director shall be as binding as if given to the Local Agency. Either party may change its Project Manager or Director upon written notice to the other pa~. sent Notices required to be given to the State in writing by the Local Agency under this Contract shall generally be State of California Department of Water Resources Division of Planning and Local Assistance Attention: Program Manager Water Conservation Bond Law Programs Post Office Box 942836 Sacramento, California 94236-0001 Notices required to be given to the Local Agency in writing by ~he State under this Contract shall be sent to: Chief Executive Officer (Representative) Santa Clara Valley Water District (Agency Name) 5750 Almaden Expressway (Mailing Address) San Jose, California 95118 (City, State, Zip Code) A change of address for delivery or notice may be made by either party by written notice of such change of address to the other party. All such notices shall be enclosed i~ a propurly addressed, postag= prepaid envelope and deposited it, a United States Post O~ce for delivery by registered or certified mail. E67 (Rev 8/02)-3- Contract No. E67018 iN WITNESS WHEREOF, the parties hereto have executed this Contract on Approved as to Legal Form and Suffici ~ency: ~,, / ~’,-:.,l.../".v~> C~i~K’,~.Q’~UI~ s el // ,) Depa~ment of Water Resour~e~ STATE OF CALIFORNIA DEPARTMENT OF WATER RESOURCES Chi~, Division of Planning and Local Assistance Department of Water Resources Santa Clara Valley Water District Local Agency Printed Name Chief Executive Officer Title 5750 Almaden Expressway_____ Address San Jose, California 95118 City, State, Zip Code E67 (Rev 8102)-4-- Contract No. E67018 EXHIBIT A STATE OF CALIFORNIA THE RESOURCES AGENCY ’DEPARTMENT OF WATER RESOURCES GRANT CONTRACT STANDARD CONDITIONS ARTICLE A-I. DEFINITIONS Whenever in this Contract the following terms are used, their meaning shall be as follows: Calendar days unless otherwise expressly indicated. Months: Calen’dar months unless otherwise expressly indicated. Years: Calendar years unless otherwise expressly indicated. Local Aqency : Any city, county, city and county, special district, joint powers authority, or other political subdivision of the State or a mutual water company that is a nonprofit corporation, organized for, or engaged in the business of, developing, distributing, supplying, or delivering water for irrigation or domestic use, or both, to its members or shareholders, at actual cost plus necessary expenses. Project: A project for the completion of an Urban Water Conservation project under the Safe Drinking Water, Clean Water, Watershed Protect.ion, and Flood Protection Act, Urban Water Conservation Program. A Project may include all work and facilitie:s, not including construction equipment, for the completion of an Urban Water Conservation project proposed by the Local Agency pursuant to the plans and specifications which describe the plan of the Project as submitted to the State and all addenda and changes to the foregoing documents approved by the State. Eligible Project Costs: Reasonable and necessary costs associated with an eligible project including, but not limited to, the engineering, legal and administrative fees, land and easement acquisition, environmental documentation, environmental mitigation, and construction costs associated with the Project. Eligible costs may al~o include those reasonable and necessary costs incurred by the applicant to prepare the application and establish eligibility prior to or after the effective date of this Contract. Examples of ineliqible costs include, but may not be limited to, the following: (a) Operation and maintenance costs. (b) Costs for purchase of movable equipment not an integral part of the project. (c) Payment of principal or interest of existing indebtedness or any interest payment unless: (1 ) The State agrees in writing to the eligibility of the costs for reimbursement before the debt is incurred; and (2) The purposes for which the debt is incurred are othe~,ise EligiBle Project Costs. (d)Establishing a reserve fund. (e)Purchase of water supply for the project. Grant Commitment: The maximum sum of money that the State agrees to provide to the Local Agencyunder ihis Contract that will not have to be repaid, up to a maximum of $5,000,000. ARTICLE A-2. TERM OF CONTRACT Subject to the provisions of Article A-3, this Contract shall become effective on the date of its execution and shall remain in effect until the Project is determined to be complete by the State. ARTICLE A-3. BASIC CONDITIONS PRECEDENT The State shall have no obligation to disburse money under this Contract unless and until the Local Agency has satisfied the State that the disbursement is in accorclance with requirements of the Safe Drinking Water, Clean Water, Watershed Protection, and Flood Protection Act which include: E67 (Rev 8/O2)-A1- Contract No. E67018 (a) (b) The Local Agency provides a copy of a resolution adopted by its governing body, accepting the Grant and designating a representative to execute the Contract and to sign the requests for disbursement. The Local Agency demonstrates to the State’s satisfaction the proposed Project financing has the support of a majority of the affected community by holding either an election or a widely publicized public meeting; or by any other suitable, lawful method of determining community support, at which public comments and questions are received and answered. If the Local Agency_determines that an election is not required by law prior to the Local Agency’s execution of this grant Contract, it shall transmit to the State an acceptable legal opinion from the Local Agency’s counsel stating that no election is legally required, and stating the legal basis for the Local Agency’s determination. (c)The Local Agency demonstrates the availability of sufficient funds to complete the Project. (d) The Local Agency demonstrates to the satisfaction of the State that all other sources of funds for the Project have been utilized. (e)The Local Agency demonstrates to the State’s satisfaction that the Local Agency has sufficient water available at all times and a right to use the water required to operate the Project. (f)The Local Agency submits an initial budget of Eligible Project Costs on a form provided by and approved by the State. The Local Agency shall obtain written approval of changes to the budget from the State before any substantive changes are made, and shall thereafter provide to the State a copy of the revised budget. ¯(g) The Local Agency submits to the State final plans and specifications certified by a California Registered Civil Engineer, or equivalent documentation as to compliance with the approved Project as defined in Section 1. (h)The Local Agency submits a written statement by an authorized representative that it has obtained all necessary permits, easements, rights-of-way and approvals as may be required by other state, federal, and/or local agencies, as specified in Section 9 of this Contract. The Local Agency demonstrates that it has complied with all applicable requirements of the California Environmental Quality Act and the National Environmental Policy Act by submitting copies of any environmental documents, including environmental impact reports, environmental impact statements, negative declarations, mitigation agreements and environmental permits as may be requir6d prior to beginning the Project. (j)The Local Agency submits timely periodic progress repoC[s as required by Section .10 of this Contract, ARTICLE A-4. GRANT DISBURSEMENTS BY STATE (a) Cost Statements After the Basic Conditions Precedent in Article A-3 are met, the State will disburse the whole or portions of the Grant commitment to the Local Agency following receipt from the Local Agency of a statement or statements of incurred Eligible Project Costs, reviewed by a Registered Civil Engineer, on forms provided by the State, and timely progress reports as required by Section 10 of this Contract. Requests for Grant funds shall be filed quarterly or for such periods as the State and the Local Agency may mutually agree. The Local Agency shall provide the following information: (1) A statement of the incurred Eligible Project Costs for work performed under the Contract during the period identified in the particular statement. E67 (Rev 8/02)-A2- Contract No. E67018 (2) A statement of the cost of any interests in real properb! (land or easements) that have been necessarily acquired for the Project during the period identified in the particular statement for the implementation of the Project. (3) A statement of other Eligible Project Costs which have been incurred for the Project during the period identified in the particular statement, including, but not limited to, legal, engineering, and administrative fees associated with implementation, and preparation of the application, and establishing eligibility. After the Project has been completed or terminated, the Local Agency shall furnish to the State, within 60 days, a final statement of incurred Eligible Project Costs. (b) Disbursement Following the review of each statement of costs, the State will disburse to the Local Agency the amount approved, subject to the availability of funds. Any and all money disbursed to the Local Agency under this Contract and any and all interest earned by the Local Agency on such money shall be used solely to pay Eligible Project Costs. ARTICLE A-5. WITHHOLDING OF GRANT DISBURSEMENTS BY STATE (a) Conditions for Withholdin~ The State shall withhold ten percent (10.0%) of the funds requested by the Local Agency for reimbursement of eligible project costs until the Project is completed and the certification of a Registered Civil Engineer, required by Article A-6(e) of this Contract, is accepted by the State. (b) Additional Conditions for Withholdin.q If the State determines that the Project is not being completed substantially in accordance with the provisions of this Contract, or that the Local Agency has failed in any other respect to comply substantially with the provisions of this Contract, and if the Local Agency does not remedy any such failure to the State’s satisfaction, the State may withhold from the Local Agency all or any portion of the Grant commitment and take any other action thal it deems necessary to protect its interests. (c) Withholdinq Entire Grant Commitment If the State notifies the Local Agency of its decision to withhold all of the Grant commitment from the Local Agency pursuant to Subdivision (b) of this Article, this Contract shall terminate upon receipt of such notice by the Local Agency and shall no longer be binding on either party. (d) Withholdinq Balance of Grant Commitment Where a portion of the Grant commitment has been disbursed to the Local Agency and the State notifies the Local Agency of its decision to withhold the balance of the Grant commitment pursuant to Subdivision (b) of this Article, the portion that has been disbursed shall thereafter be repaid immediately with interest, as directed by the State. Refusal of the Local Agency to so repay may, at the option of the State, be considered a material breach of contract and may be treated as default under Article B-2 of Exhibit B. ARTICLE A-6. TIMING AND MANNER OF PROJECT UNDERTAKING (a) Proiect Completion Date than The Local Agency shall expeditiously undertake implementation of the Project and shall complete it not later June 30, 2005 . (b) " Proiect Undertakinq Pursuant to Contract The Project shall be undertaken in strict accordance with this Contract. E67 (Rev 8/02)-A3- Contract No. E67018 (c) Determination of Proiect Completion For the purposes of this Contract, the Project shall be considered to be completed or to be terminated when so determined by the State. (d) Competitive Biddinq of Contracts and Procurements Any contract let for the construction of the Project, or any part thereof, which is in excess of $20,000, or which is greater than any smaller amount for which competitive bids are required under the enabling authority of the Local Agency, shall be let by competitive bid procedures which assure award of the contract to the lowest responsible bidder, except as may be otherwise authorized in writing by the State, Requests for approval of.waiver of competitive bidding, for award of contract to other than thelow bidder, orfor an agency to proceed on the basis of force account or day labor, or for any other procedure which deviates from the principle of competitive bidding shall be submitted to the SiEate before the procedure is implemented. The State’s approval of the procedure will be based on compliance with applicable laws and policies, The State expressly reserves the right to approve or disapprove of such requests, Procurement of necessary supplies or equipment shall also be undertaken in such a manner as to encourage fair and competitive treatment of potential suppliers, (e) Final Inspection and Certification of Reqistered Civil Enqineer (Construction Proiects) Upon completion of the Project the Local Agency shall provide for a final inspection and certification by a California Registered Civil Engineer that the Project has been completed in accordance with submitted final plans and specifications and any modifications thereto and in accordance with this Contract. The Local Agency shall notify the Division of Planning and Local Assistance of the Department of Water Resources of the inspection date at least 10 days prior to the inspection in order to provide the State the opportunity to participate in the inspection. (f)Siqn Referrinq to Safe Drinkinq Water, Clean Water, Watershed Protection, and Flood Protection Act Financinq ( Construction Projects) During construction of the Project, the Local Agency shall install a sign at a prominent location which shall include a statement that the Pro)oct is financed under the Safe Drinking Water, Clean Water, Watershed Protection and Flood Protection Act, Urban Water Conservation Program, administered by the State of California, Department of Water Resources. The sign shall be erected before Grant funds are disbursed. The Local Agency shall notify the State that the sign has been erected by providing them with a site map with the sign location noted and a photograph of the sign. (g) Acknowledqement of Credit (Non Construction Proiects/ The Local Agency shall include appropriate acknowledgement of credit to the State and to all cost-sharing partners for their support when promoting the Project or using any data andtor information developed under the Contract. (h) Audit Requirement Pursuant to Government Code Section 8546,7, the contracting parties shall be subject to the examination and audit of the State for a period of three years after final payment under this Contract with respect to all matters connected with this Contract, including but not limited to, the cost of administering this Contract. All records of the Local Agency or subcontractors shall be preserved for this purpose for at least three (3) years after Project completion. ARTICLE A-7. ACCOUNTING AND DEPOSIT OF GRANT DISBURSEMENTS (a) Separate Accountinq of Grant Disbursements and Interest Records The Local Agency shall account for the money disbursed pursuant to this Contract separately from all other Local Agency’s funds. The Local Agency shall maintain audit and accounting procedures that are in accordance E67 (Rev 8/O2)-A4- Contract No. E67018 with generally accepted accounting principles and practices, consistently applied. The Local Agency shall keep complete and accurate records of all receipts, disbursements, and interest earned on expenditures of such funds. The Local Agency shall require its contractors or subcontractors to maintain books, records, and other documents pertinent to their work in accordance with generally accepted accounting principles and practices. Records are subject to inspection by the State at any and all reasonable times. (b) Disposition of Money Disbursed All money disbursed pursuant to this Contract shall be deposited, administered, and accounted for pursuant to the provisions of applicable taw. (c) Remittance of Unexpended Funds The Local Agency, within a period of thirty (30) days from the final disbursement from the State to the Local Agency of grant funds, shall remit to the State any unexpended funds that were disbursed to the Local Agency under this Contract and were not needed to pay Eligible Project Costs. (d) Interim and Final Audits The State reserves the right to conduct an audit at any time between the execution of this Contract and the completion of the Project, with the costs of such audit borne by the State. After completion of the Project, the State may require the Local Agency to conduct a final audit, at the Local Agency’s expense, such audit to be conducted by and a report prepared by an independent Certified Public Accountant. Failure or refusal by the Local Agency to comply with this provision shall be considered a substantial failure to comply with this Contract, and the State may elect to pursue any remedies provided in Article A-5 or take any other action it deems necessary to protect its interests. ARTICLE A-8. REPORTS QN EXPENDITURE AND PROJECT COMPLETION During the planning and implementation phases of the Project, the Local Agency agrees to provide to the State an annt~al summary of the information required by Articles A-4 and A-7. Within 60 days of project completion, the Local Agency shall submit a final progress report on project completion and expenditures for the State’s review and comment. The report shall be modified to incorporate the State’s comments, if any, and resubmitted within 60 days of the Local Agency’s receipt of the State’s comments. ARTICLE A-9. INSPECTIONS OF PROJECT BY STATE The State shall have the right to inspect the work being performed at any and all reasonable times during the term of the Contract. This right shall extend to any subcontracts, and the Local Agency shall include provisions ensuring such access in all its contracts or subcontracts entered into pursuant to its Contract with the State. ARTICLE A-10. PROHIBITION AGAINST DISPOSAL OF PROJECT WITHOUT STATE PERMISSION The Local Agency shall not sell, abandon, lease, transfer, exchange, mortgage, hypothecate, or encumber in any manner whatsoever all or any portion of any real or other property necessarily connected or used in conjunction with the Project, or with the Local Agency’s service of water, without.prior permission of the State. The Local Agency shall not take any action, including but not limited to actions relating to user fees, charges and assessments, that could adversely affect the ability of the Local Agency to make timely payments or to otherwise meet its obligations under this Contract, without prior written permission of the State. The State may require that the proceeds from the disposition of any real or personal property be remitted to the State to be applied to the Local Agency’s indebtedness under this Contract. ARTICLE A-11. NONDISCRIMINATION CLAUSE During the performance of this contract, the Local Agency, its contractors and subcontractors shall not deny the Contract’s benefits to any person on lhe basis of religion, color, ethnic group identification, sex, age, physical or mental disability, nor shall they discriminate unlawfully against any employee or applicant for employment because E67 (Rev 8/O2)-AS- Contract No. E67018 of race, religion, color, national origin, ancestry, physical handicap, mental disability.: medical condition, marital status, age, or sex. The Local Agency shall insure that the evaluation and treatment of employees and applicants for employment are free of such discrimination. The Local Agency, its contractors and subcontractors shall comply with the provisions of the Fair Employment and Housing Act (Government Code, Section 12900 et seq.), the regulations promulgated thereunder (California Code of Regulations, Title 2, Section 7285.0 et seq.), the provisions of Article 9.5, Chapter 1, Part 1, Division 3, Title 2 of the Government Code (Government Code, Sections 11135-11139.5) and the regulations or standards adopted by the awarding State Agency to implement such article. The Local Agency, its contractors and subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement. The Local Agency shall include the nondiscrimination and compliance provisions of this clause in all contracts and subcontracts to perform work under the Contract. The Local Agency’s signature on this contract shall constitute a certification under the penalty of perjury under the laws of the State of California that the Local Agency has, unless exempted, complied with the nondiscrimination program requirements of Government Code, Section 12990, and Title 2, California Code of Regulations, Section 8103. ARTICLE A-12. WORKERS’ COMPENSATION CLAUSE The Local Agency affirms that it is aware of the provisions of Section 3700 of the California Labor Code, which requires every employer to be insured against liability for workers’ compensation or to undertake selfqnsurance in accordance with the provisions of that code, and the Local Agency affirms that it will comply with such provisions before commencing the performance of the work under this Contract and wit make its contractors and subcontractors aware of this provision. ARTICLE A-13. SUCCESSORS AND ASSIGNS This Contract and all of its provisions shall apply to and bind the successors and assigns of the parties hereto. No assignment or transfer of this Contract or any part hereof, rights hereunder, or interest herein by the Local Agency shall be valid unless and until it is approved by the State and made subject to such reasonable terms and conditions as the State may impose. ARTICLE A-14. STATE TO BE HELD HARMLESS The Local Agency agrees to indemni.fy the State and its officers, agents, and employees against and to hold the same free and harmless from any and all claims, demands, damages, losses, costs, expenses, or liability due or incident to, either in whole or in part, and whether directly or indirectly, arising out of the Project. ARTICLE A-15. REMEDIES NOT EXCLUSIVE The use by either party of any remedy specified herein for the enforcement of this Contract is not exclusive and shall not deprive the party using such remedy of, or limits the application of, any other remedy provided by law. ARTICLE A-16. AMENDMENTS This Contract may be amended at any time by mutual agreement of the parties, except insofar as any proposed amendments are in any way contrary to applicable law. Requests by the Local Agency for amendments must be in writing stating the amendment request and the reason for the request. ARTICLE A-17. OPINIONS AND DETERMINATIONS Where the terms of this Contract provide for action to be based upon opinion, judgement, approval, review, or determination of either party hereto, such terms are not intended to be and shall never be construed as permitting such opinion, judgement, approval, review, or determination to.be arbitra[y, capricious, or unreasonable. E67 (Rev 8/02)-A6- Contract No. E67018 ARTICLE A-18, CONTRACTING OFFICER OF THE STATE The contracting officer of the State shall be the Director of the Department of Water Resources of the State o1: California and his successors, or their duly authorized representatives. The contracting officer shall be responsible for all discretionary acts, opinions, judgements, approvals, reviews, and determinations required by the State under the terms of this Contract. ARTICLE A-19. WAIVER OF RIGHTS None of the provisions of this Contract shall be deemed waived unless expressly waived in writing. It is the intention of the parties hereto that from time to time either party may waive any of its rights under this Contract unless contrary to law. Any waiver by either party hereto of rights arising in connection with this Contract shall not be deemed to be a waiver with respect to any other rights or matters, and such provisions shall continue in full force and effect. ARTICLE A-20. NOTICES All notices that are required either expressly or by implications to be given by one party to the other under this Contract shall be signed for the State by its contracting officer and for the Local Agency by such officers, as from time to time, it may authorize in writing tb so act. All such notices shall be deemed to have been given if delivered personally or if enclosed in a properly addressed postage-prepaid envelope and deposited in.a United States Post Office for delivery by registered or certified mail. ARTICLE A-21. INSPECTION OF BOOKS, RECORDS, AND REPORTS During regular office hours, each of the parties hereto and their duly authorized representatives shall have the right to inspect and to make copies of any books, records, or reports of either party pertaining to this Contract or matters related hereto. Each of the parties hereto shall maintain and shall make available at all times for such inspection accurate records of all its costs, disbursements, and receipts with respect to its activities under this Contract. Failure or refusal by the Local Agency to comply with this provision shall be considered a substantial failure to comply with this Contract, and the State may withhold disbursements to the Local Agency or take any other action it deems necessary to protect its interests, as provided in Article B-2. ARTICLE A-22. SUIT ON CONTRACT Each of the parties hereto may sue and be sued with respect to this Contract. ARTICLE A-23. CLAIMS DISPUTE CLAUSE Any claim that the Local Agency may have regarding the performance of this agreement including, but not limited to, claims for additional compensation or extension of time, shall be submitted to the Director, Department o~f Water Resources, within thirty (30) days of the Local Agency’s knowledge of the claim. If this attempt fails, the next step shall be resolution of the claim through non-binding mediation. If this second step fails, both parties shall have the opportunity to exercise their rights under Article A-22 of this Contract. Once a resolution is reached, its terms may be implemented through an amendment to this Contract. ARTICLE A-24. DOCUMENTATION OF PROJECT BENEFITS AND COSTS (a) ActualWater Savinqs After project completion the Local Agency shall revise the estimate of water savings based, on records for the first operational year and, within 90 days affer the first operational year has elapsed, report these findings to the Department of Water Resources, Division of Planning and Local Assistance. This recording and reporting process shall be subsequently repeated for a total of five consecutive operational years. Estimates shall include total annual water savings and net annual water savings. This report shall include a description of how the water produced by the project is being used. E67 (Rev 8/02}.-A7- Contrac~No, E67018 (b) Other Benefits and Costs The Local Agency shall, after the first operational year has elapsed report any other benefits (other than water savings) and any additional costs resulting from the project, to the Department of Water Resources, Division of Plannin.g and Local Assistance. ARTICLE A-25. DRUG-FREE WORKPLACE CERTIFICATION (a) Certification of Compliance By signing this Contract, the Local Agency, its contractors or subcontractors hereby certify under penalbj of perjury under the laws of the State of California compliance with the requirements of the Drug-Free Workplace Act of 1990 (Government Code 8350 et seq.) and have or will provide a drug-free workplace by taking the following actions: (1) Publish a statement notifying employees, contractcirs and subcontractors that unlawful manufacture, distribution, dispensation, possession, or use of a controlled substance is prohibited and specifying actions to be taken against employees, contractors or subcontractors for violations, as required by Government Code Section 8355(a). (2) Establish a Drug-Free Awareness Program, as required by Government Code Section 8355(b) to inform employees, contractors and subcontractors about all of the.following: violations. (a)The dangers of drug abuse in the workplace, (b)The Local Agency’s policy of maintaining a drug-free workplace, (c)Any available counseling, rehabilitation and employee assistance programs, and (d)Penalties that may be imposed upon employees, contractors or subcontractors for drug abuse (3) Provide, as required by Government CodeSection 8355(c), that every employee, contractor and subcontractor who works under this Contract: (a) Will receive a copy of the Local Agency’s drug-free policy statement, and (b) Will agree to abide by terms of the Local Agency’s condition of employment, contract or subcontract. (b) Suspension of Payments This contract or grant may be subject to suspension of payments or termination, or both, and the Local Agency may be subject, to debarment if the Department determines that: (1) The Local Agency, its contractors or subcontractors have made a false certification, or; (2) ]’he Local Agency; its contractors or subcontractors violates the certification by failing to carry out the requirements noted above. ARTICLE A-26. AMERICANS WITH DISABILITIES ACT By signing this Contract, contractor assures the State that it complies with the Americans with Disabilities Act (ADA) of 1990, (42 U.S.C. 12101 et seq.), which prohibits discrimination on the basis of disability, as well as all applicable regulations and guidelines issued pursuant to the ADA. ARTICLE A-27. CONFLICT OF INTEREST. (a) Current State Employees (1) No State officer or employee shall engage in any employment, activity or enterprise.from which the officer or employee receives comuensation orhas a financial interest and which is sponsored or funded by any State agency, unless the employment, activity or euterpr se is required as a condition of regular State employment. E67 (Rev 8/02).A8- Contract No. E67018 (2) No State officer or employee shall contract on his or her own behalf as an independent contractor with any State agency to provide goods or services. (b) Former State Employees (1) For the two years period from the date he or she left State employment, no former State officer or employee may enter into a contract in which he or she engaged in any of the negotiations, transactions, planning, arrangements or any part of the decision-making process relevant to the contract while employed in any capacity by any State agency. (2) For the twelve-month period.from the date he or she left State employment, no former State officer or employee may enter into a contract with any State agency if he or she was employed by that State agency in a policy-making position in the same general subject area as the p[oposed contract within the twelve-month period prior to his or her leaving State service. ARTICLE A-28. NO THIRD PARTY RIGHTS The.parties to this Contract do not intend to create rights i.n, or grant remedies to, any third party as a beneficiary of this Contract, or of any duty, convenant, obligation or undertaking established herein. ARTICLE A-29. SEVERABILITY Should any portion of this Contract be determined to be void or unenforceable, such shall be severed from the whole and the Contract shall continue as modified. ARTICLE A-30. TERMINATION The State may terminate this Contract under Article B-2 of Exhibit B. E67 (Rev 8/02)-A9- Contact No. E67018 EXHIBIT B GRANT CONTRACT SECURITY REQUIREMENTS ARTICLE B-1. PERFORMANCE AND ASSURANCES Local Agency agrees to faithfully and expeditiously perform or cause to be performed all Project work asdescribed in the final plans and specifications as submitted or as later amended and approved by the State under this Contract and to apply State funds received only to Eligible Project Costs and to operate and maintain the Project in accordance with applicable provisions of the law. In the event the State finds it necessary to enforce this provision or any right or power under this Contract in the manner provided by, law, Local Agency agrees to pay all costs incurred by the State including, but not limited to, reasonable attorneys’ fees, legal expenses, and costs. ARTICLE B-2. DEFAULT PROVISIONS (a) The Local Agency will be in default under this agreement if any of the following occur: (1) Substantial breach of this Contract, or any supplement or amendment to it, or any other agreement between the Local Agency and the State evidencing or securing the Local Agency’s obligations; (2) Making any false warranty, representation, or statement with respect to this Contract; (3) Failure to make any remittance required by this Contract. (b) Should an event of default occur, the State may do any or all of the following: (1) Demand the Grant be immediately repaid, with interest, which shall be equal to the State of California general obligation bond interest rate in effect at the time of the default; (2) Terminate any obligation to make future payments to the Local Agency; (3) Terminate the Contract; and (4) Take any other action that it deems necessary to protect its interests. (c) The Local Agency agrees that any remedy provided in this Contract is in addition to and not in derogation of any other legal or equitable remedy available to the State as a result of a breach of this Contract bythe Local Agency, whether such breach occurs before or after completion of the Project. (d) No waiver by the State of any breach or default will be a waiver of any breach or default occurring later. A waiver will be valid only if signed by the State or its authorized agent. E67 (Rev 8/02)-B1- Contract No. E67018 EXHIBIT C PROJECT DESCRIPTION SANTA CLARA VALLEY WATER DISTRICT DEDICATED LANDSCAPE METER PROGRAM Proiect Description The project consists of covering the capital costs of 200 dedicated landscape meters at sites that are currently mixed-use metered. The cities of Palo Alto and Mountain View wilt pay for the installation costs of ten sites in each of their service areas. The remaining dedicated meter installation costs will be paid for by the participating customers. Scope of Work Task 1 Identify mixed-use meter sites with high water savings potential. Task 2: Program Notice and Recruitment Task 3: Conduct meter installation. Task 4: Coordination, administration, monitoring, evaluation and reporting. All work will be completed by the retail agency staff (cities of Palo Alto and Mountain View) with assistance from the District. Economic Justification The project meets the cost-effectiveness criterion, with a benefit-to-cost ratio of 7.1. .Proiect Location The Dedicated Landscape Meter Project is located in Santa Clara COLIr~ty in the cities of Palo Alto and Mountain View. -C 1, GUIDELINES FOR REQUESTING DWR CONTRACT AMENDMENTS Address your request to: Linda Buchanan Herzberg Department of Water Resources Division of Planning and Local Assistance Post Office Box 942836 Sacramento, California 94236-0001 Identify the Contract as follows: Oontract Number- EXXXXX Original Funding Amount - $ Current Funding Amount - $ All Previous Amendments: A-__, dated Purpose Identify all contract provisions affected by the amendment request: Contract Section/Article Description of requested change: Contract Section/Article Description of requested change: in narrative indicate the type of change being requested: Level of State funding Total Project Cost Time Frames (dates) Project Scope Any combination of the above In addition, describe the circumstances that necessitate the changes and provide full justification for each item of change. Also describe any alternatives considered and indicate why they are not feasible. If the change will be for either the total project cost or level of State funding, attach a.revised Budget and Expenditure Summary. To request this form, please contact your DWR contract analyst. GUIDELINES FOR REQUESTING DWR CONTRACT AMENDMENTS TO:Funding Recipients, The Water Conservation, Groundwater Management, and Local Water Supply Programs You have signed a contract for funding with the State of California, Department of Water Resources under the Water Conservation, Groundwater Management, and Local Water Supply Programs. Your DWR contract reflects your estimated total project or study costs, the amount of State funding, the date for completion of disbursement requirements, and the date for completion of the project or study. The project or study elements eligible for funding have been defined in DWR’s written technical certification and are included as Exhibit C to your contract. Unanticipated circumstances or events may impact the scope and terms of your DWR contract, and may require amendment of the contract. It is your agency’s sole responsibility to be aware of critical dates and other variables within your DWR contract, and to monitor the agency’s progress in meeting all contract requirements. You must notify DWR staff by telephone at the earliest indication that there may be a need to amend the contract. This verbal notification must be followed with a formal written request for amendment of the contract. Your request must identify the contract terms that need amendment and include a full justification. You must also identify any elements of the approved project or study that are expected to change, and discuss any alternative measures considered. Your request to amend the contract must be timely to allow DWR staff at least 60 days lead time for consideration of its approval. Please follow the guidelines on the reverse in drafting your amendment request. Once DWR receives your agency’s written amendment request, we will evaluate it for approval or denial. If it is approved, DWR will issue a contract amendment. When both DWR and your agency sign the amendment, it will be attached to and incorporated into your executed contract. If you are requesting an increase in State loan funding, you must indicate the source of repayment of the additional loan. The bond laws allow the State to make loan funding available only to the extent an applicant is able to repay. If you have any questions, please contact Linda Buchanan Herzberg at (916)651-9645. b b 0~ o z © 0 ;tote of California ~roposition ~ART A ~,:,vlE OF PUBLIC AGENCY: kDDRESS: Department of Water Resources Periodic Estimate for Partial Payment General Obligation LoanlGrant (See Instructions on Reverse Side) The Resources Agency Page __ of__ FELEPHONE NO:DWR CONTRACT NO: ;ERIODIC ESTIMATE NO:FOR PERIOD TO ~,udget Line tern No. =ART B - Expenditure Summary ~,ttachment No.DESCRIPTION (FOR DWR USE ONLY) Amount of this Partial Payment $. PAYMENT APPROVED: AUTHORIZED SIGNATURE DEPARTMENT OF WATER RESOURCES PART C - TOTALS 1 Total this ~eriodic estimate 2 Total all prior 3eriodic estimates 3 Total periodic expend- tures to date (1+2 above) 4 Total retention this periodic estimate 5 Total retention all prior periodic estimates 6 Tota retention to date (4+5 above) 7 DWR Contract Amount internal Order or Program Cost Center No. Date Paid 8 Total funds obligated Claim No. Dwa use SURNAME (3+6 above), 9 Funds still available (7-8 above) PROJECT EXPENDITURES STATE FUNDS REQUESTED DWR 4135A (New 6/87)SUBMIT, Original and 3 copies to the DepaKcment of Water Resources INSTRUCTIONS FOR DWR 4135A (To be filled out bY the Public Agency for periodic payment) kRT A: PubLic Agency: The name should be identical to the name used in the contract with the Department of Water R.esources. Address and Telephone Number: Self-explanatory, D\VI< Contract Number: The number is on the contract. Periodic Estimate: Submit no more than one estimate per month. PART B: Expenditure Summary Budget Line Item Number: Corresponding to DWR 4135, Budget and Expenditure Summary. Attachment Number: Numerically identify each attachment, corresponding to DW-R 4135 C. Description: Identify the material, labor or item being billed. Indicate vendor’s name. Proj oct Expenditure: The total dollar amount of the partial payment being requested by the contractor or vendor. State Funds Requested: The dollar amount of the project expenditure being requested this estimate. PART 1. 2. 3. 4. 5. 7. 8. 9. C: Totals Total expenditures and State funds requested ~rom the columns in Part B. Total all prior periodic estimates-DO NOT INCLUDE’THIS ESTIMATE. (See Item 3 on previous estimate.) Total of Items 1 and 2. Total retention this estimate. Total retention from aJl prior periodic estimates-DO NOT INCLUDE THIS ESTIMATE. (See Item 6 on previous estimate.) Total of Items 4 and 5. Loan amount from the contract NOT including the administrative fee. Total of Items 3 and 6. Funds still available-Item 7 minus Item 8. This amount MUST be equal to or greater than zero. DO NOT WRITE IN THE BLOCKS MARKED "FOR DWR USE". ~f additional space is required, use a second DWR 4135 A and identify it in the upper right hand comer. Total ONLY the last DWR 4135 A. ’ INSTRUCTIONS FOR PARTIAL PAYMENT ESTIMATE, DWR 4135 C PART A: Self-explanatory. PART B: Contract Item: Unit: Identify each item by its basic description (each, square foot, linear foot, project, etc.). Quantity: The number of units contracted. Unit Price: The price per unit. This Period: Quantity: Number of cdntracted units this period. Amount: Number of contracted units this period X Unit Price. Total to Date: Quantity: Total units billed including this partial payment. Amount: Total quantity X Unit Price. PART C: 1. Amount earned: Total of"This Period" and "Total to Date" columns in Part B. 2. Amount retained: Self-explanatory. 3. Previous payments: Self-explanatory. 4. Amount Due: ! minus 2 and 3. Estimated Percentage and Progress Schedule: Self-explanatory and required on all contractor items. PART D: Part D, 1, 2, and 3 must be signed. Part D, 2 is always signed by a registered civil engineer unless otherwise approved in writing by DWR. ’.Part D, 3 is always signed by the Public Agency. All signatures on original set of the estimate r~ust be origi~ai sig~mtures. Additional copies may be made from this set. Please subm the original and four copies of the entire estimat~ ~ack~ ge to’ he Depmmnent nfWater Resources, Bond Financing and Administratio P.O. Box 942836, Sacramento CA 94236-/:r)0~, .. DWR 4135A (Back) CNew ;tate of California ~roposition __ ~ART A ~E OF PUBLIC AGENCY: DepaC~ment of Water Resources Periodic Estimate for PaCdal Payment General Obligation Loan/Grant (See Instructions on Reverse Side) The Resources Agency Paqe of \DDRESS: iELEPHONE NO:DWR CONTRACT NO: ~ERIODIC ESTIMATE NO:FOR PERIOD TO ~ART B - Expenditure Summary }udget Line Lem No. Attachment No.DESCRIPTION (FOR DWR USE ONLY) Amount of this Partial Payment $ PAYMENT APPROVED: AUTHORIZED SIGNATURE DEPARTMENT OF WATER RESOURGES internal Order or Program Cost Center No. Date Paid Claim No. FOR DWR USE SURNAME 2 3 4 5 6 7 8 9 PART C - TOTALS Total this periodic estimate Total all prior i Periodic estimates Total periodic expend- tures to date (1+2 above) Total retention this ’ 3eriodic estimate Total retention all prior 3eriodic estimates Total retention to date (4+5 above) DWR Contract Amount Total funds obligated (3+6 above) Funds still available (7-8 above) PROJECT EXPENDITURES STATE FUNDS REQUESTED DWR 4135A (N~w 6/87~SUBMIT: Original and 3 copies to the Deparl:rnent of ~Nater Resources INSTRUCTIONS FOR ])WR 4135 A (To be fiIled out by the Public Agency for periodic payment) kRT A: Public Agency: The name should be identical to the name used in the contract with the Deparm~ent of Water Resources. Address and Telephone Number: Self-explanatory. DWR Contract Number: The number is on the contract. Periodic Estimate: Submit no more than one estimate per month. PART B: Expenditure Summary Budget Line Item Number: Corresponding to DWR 4135, Budget and Expenditure Summary. Attachment Number: Numerically identify each attachment, corresponding to DWR 4135 C. Description: Identify the material, labor or item being billed. Indicate vendor’s name. Project Expenditure: The total dollar amount of the partial payment being requested by the contractor or vendor. State Funds Requested: The dollar amount of the project expenditure being requested this estimate. PART 1. 2. 3, 4. 5, 6, 7. 8, 9. C: Totals Total expenditures and State funds requested fi’om the columns in Part B. Total all prior periodic estimates-DO NOT INCLUDE’THIS ESTIMATE. (See Item 3 on previous estimate.) Totat of Items 1 and 2. Total retention this estimate. Total retention from ail prior periodic estimates-DO NOT INCLUDE TH!S ESTIMATE. (See Item 6 on previous estimate.) Total of Items 4 and 5. Loan amount from the contract NOT including the administrative fee. Total of Items 3 and 6. Funds still available-Item 7 minus Item 8. This amount MUST be equal to or greater than zero. DO NOT WRITE IN THE BLOCKS MAR!tED "FOR DWR USE". if additional space is required, use a second DWR 4135 A and identify it in the upper right hand comer, Total ONLY the last DWR 4135 A. INSTRUCTIONS FOR PARTIAL PAYMENT ESTIMATE, DWR 4135 C PART A: Self-explanatory. PART B: Contract Item: Unit: Identify each item by its basic description (each, square foot, linear foot, project, etc.). Quantity: The number of units contracted. Unit Price: The price per unit. This Period: Quantity: Number of contracted units :this period. Amount: Number of contracted units this period X Unit Price. Total to Date: Quantity: Total units billed including this partial payment, Amount: Total quantity X Unit Price. PART C: 1. Amount earned: Total of"This Period" and "Total to Date" columns in Part B. 2. Amount retained: Self-explanatory. 3. Previous payments: Self-explanatory. 4. Amount Due: 1 minus 2 and 3. Estimated Percentage and Progress Schedule: Self-explanatory and required on all contractor items, PART D: Part D, 1, 2, and 3 must be signed. Part D, 2 is always signed by a registered civil engineer unless otherwise approved in va’iting by DWR. ’.Part D, 3 is always signed by the Public Agency. All signatures on original Set of the estimate must be original signatures. Additional copies may be made from this set. Please subm the original and four copies of the enth’e estimate package to the Department of Water Resources, Bond Financing and Adrninistratio P.O. Box 942836, Sacramento CA 94236-0001. DWR 4135A (Back) (New 6/87) ;tare of California ~roposition ~ART A 4,,,~E OF PUBLIC AGENCY: ,,DDRESS: Department of Water Resources Periodic Estimate for Partial Payment General Obligation Loan/Grant (See Instructions on Reverse Side) The Resources Agency Page of "ELEPHONENO:DWR CONTRACT NO: ~ERIODIC ESTIMATE NO:FOR PERIOD TO ~ART B - Expenditure Summary ~udget Line Attachment :era No,No, FOR DWR USE ONLY) kmount of this ~artial Payment $, ~AYMENT APPROVED: AUTHORIZED SIGNATURE DEPARTMENT OF WATER RESOURCES DESCRIPTION nternal Order or Program Cost Cenler No. )ate Paid .~laim No. :OR DWR USE ~URNAME 2: 3 4 5 6 7 8 9 PART.C - TOTALS 1 Total this ~eriodic estimate Total all prior }eriodic estimates Total periodic expend- tures to date (1+2 above) Total retention this 3eriodic estimate Total retention all prior 3eriodic estimates Total retention to date (4+5 above) DWR Contract Amount Total funds obligated (3+6 above) Funds still available (7-8 above) PROJECT STATE FUNDS EXPENDITURES REQUESTED DWR ~.135A (New ~I87)SU~.~,~I"i’.: Origin:~fi and :: ,;op es to the Department of Water Resources ]2NSTRUCTIONS FOR DW-R 4135 A (To befilled out by the Public Agency for periodic payment) d~T A: Public Agency: The name should be identical to the name used in the contract with the Deparm~ent of Water Resources. Address and Telephone Number: Self-explanatory. DWR Contract Number: The number is on the contract. Periodic Estimate: Submit no more than one estimate per month. PART B: Expenditure Summary Budget Line Item Number: Corresponding to DWR 4135, Budget and Expenditure Summary. Attachment Number: Numerically identify each attachment, corresponding to DWR 4135 C. Description: Identify the material, labor or item being billed. Indicate vendor’s name. Project Expenditure: The total dollar amount of the partial payment being requested by the contractor or vendor. State Funds Requested: The dollar anaount of the project expenditure being requested this estimate. PART t. 2. 3. 4. 5. 6. 7. 8. 9, C: Totals Total expenditures and State funds requested from the coluums in Part B. Total all prior periodic estimates-DO NOT INCLUDETHIS ESTIMATE. (See Item 3 on previous estimate.) Total ofltems 1 and 2. Total retention this estimate. Total retention from a-ll prior periodic estimates-DO NOT INCLUDE THIS ESTIMATE. (See Item 6 on previous estimate.) Total of Items 4 and 5, Loan amount from the contract NOT including the administrative fee. Total of Items 3 and 6. Funds still available-Item 7 minus Item 8. Tkis amount MUST be equal to or greater than zero. DO NOT WRITE IN THE BLOCKS MARKED "FOR DWR USE". If.additional space is required, use a second DWR 4135 A and identify it in the upper right hand comer. Total ONLY the last DWR 4135 A. INSTRUCTIONS FOR PARTIAL PAYMENT ESTIMATE, DWR 4135 C PART A: Self-explanatory. PART B: Contract Item: Unit: Identify each item by its basic description (each, square foot, linear foot, project, etc.). Quantity: The number of units contracted. Unit Price: The price per unit. This Period: Quanti.ty: Number of contracted units this period. Amount: Number of contracted units this period XUnit Price. Total to Date: Quantity: Total units billed including this partial payment. Amount: Tots.1 quantity X Unit Price. PART C: 1. Amount earned: Total of"This Period" and "Total to Date’~ columns in Part B. 2. Amount retained: Self-explanatory. 3. Previous payments: Self-expIanatory. 4. Amount Due: 1 minus 2 and 3. Estimated Percentage and Progress Schedule: Self-explanatory and required on alt contractor items. PART D: PartD, 1, 2, and 3 mustbe.signed. ’ Part D, 2 is always signed by a registered civil &ngineer unless otherwise approved in writing by DWR..~Part D, 3 is always signed by the Public Agency. .All signatures on original set of the estimate must be original signatures. Additional copies may be made from this set. Please subm the original and four copies of the entire estimate package to the Department of Water Resources, Bond Financing and Administratio P.O. Box 942836, Sacramento CA 94236-0001. DWR 4135A (Back) (New 6/87) tare of California ’roposition __ ’ART A ,4E OF PUBLIC AGENCY: Department of Water Resources Periodic Estimate for Partial Payment General Obligation Loan/Grant (See Instructions on Reverse Side) The Resources Agency Page of ,DDRESS: ELEPHONE NO: ~ERIODIC ESTIMATE NO:FOR PERIOD DWR CONTRACT NO: TO ’ART B - Expenditure Summary ,udget Line Attachment PROJECT STATE’FUNDS em No. !No.DESCRIPTION EXPENDITURES REQUESTED =OR DWR USE ONLY) \mount of this 3artial Payment $. 3AYMENT APPROVED: AUTHORIZED SIGNATURE DEPARTMENT OF WATER RESOURCES nternal Order or Program Cost Center No. ::)ate Paid Dlaim No, FOR DWR USE SURNAME PART C - TOTALS 1 Total this periodic estimate ’2 Total all prior periodic estimates ,3 Total periodic expend- tures to date (1 +2 above 4 ,Total retention this ,,, ! ,p,e,ri0dic estimate 5 Total retention all prior ~eriodic estimates 6 Total retention to date (4+5 above) 7 DWR Contract Amount 8 Total funds obligated (3+6 above) 9 Funds still available (7-8 above) DWR 4135A (New 6/P,7)SUBMIT’. Original and 3 copies to the Department of Water Resources INSTRUCTIONS FOR DWR 4135 A (To be filled out by the Public Agency for periodic payment) LRTA: Public Agency: The name should be identical to the name used in the contract wifla the Department of Water Resources. Address and Telephone Number: Self-explanatory. DWR Contract Number: The number is on the contract. Periodic Estimate: Submit no more than one’ estimate per month. PART B: Expenditure Summary Budget Line Item Number: Corresponding to DWR 4135, Budget and Expenditure Summary. Attachment Number: Numerically identify each attachment, corresponding to DWR 4135 C. Description: Identify the material, labor or item being billed. Indicate vendor’s name. Project Expenditure: The total dotlar amount of the partial payment being requested by the contractor or vendor. State Funds Req’aested: The dollar amount of the project expenditure being requested this estimate. PART 1. 2. 3. 4. 5. 6. 7. 8. 9. C: Totals Total expenditures and State funds requested from the colurrms in Part B. Total all prior periodic estimates-DO NOT INCLUDETHIS ESTIMATE. (See Item 3 on previous estimate.) Total ofiterns 1 and 2. Total retention this estimate. Total retention from a~l prior periodic estimates-DO NOT INCLUDE TI-IIS ESTIMATE. (See Item 6 on previous estimate.) Total of Items 4 and 5, Loan amount from the contract NOT including the administrative fee. Total of Items 3 and 6. Funds still available-Item 7 minus Item 8. This amount MUST be equal to or greater than zero. DO NOT WKITE IN THE BLOCKS MARICED "FOR DWR USE". If additional space is required, use a second DWR 4135 A and identify it in the upper right hand corner. Total ONLY the last DWR 4135 A. INSTRUCTIONS FOR PARTIAL PAYMENT ESTIMATE, DWR 4135 C PART A: Self-explanatory. PART B: Contract Item: Unit: Identify each item by its basic description (each, square foot, linear foot, project, etc.). Quantity: The number of units contracted. Unit Price: The price per unit, This Period: Quantity: Number of contracted units this period. Amount: Number of contracted units, this period X Unit Price. Total to Date: Quantity: Total units billed including this partial payment. Amount: Total quantity X Unit Price. PART C; 1. Amount earned: Total of"This Period" and "Total to Date" columns in Part B, 2, Amount retained: Self-explanatory. 3. Previous payments: Self-explanatory. 4, Amount Due: 1 minus 2 and 3. Estimated Percentage and Progress Schedule: Self-explanatory and required on all contractor items. PART D: Part D, 1, 2, and 3 must be signed. Part D, 2 is always signed by a registered civil &ngineer unless otherwise approved in writing by DWR...Part D, 3 is always signed by the Public Agency. All signatures on original set of the estimate must be original signatures. Additional copies may be made from tNs set. Please subm -*he origqnal and four copies of the entire estimate package to the Department of Water Resources, Bond Financing and Adrninistratio P,O. Box 942836, Sacramento CA 94236-0001. tate of California DepaF~rnent of Water Resources The Resources Agency " ’roposition Periodic Estimate for Partial Payment Page of General Obligation Loan/Grant (See Instructions on Reverse Side)’ART A ~,-,,vIE OF PUBLIC AGENCY: ~DDRESS: ELEPHONENO:DWR CONTRACT NO: ~ERIODIC ESTIMATE NO:FOR PERIOD TO ~ART B - Expenditure Summary . ,udget Line Attachment PROJECT STATE FUNDS :era NO. No.DESCRIPTION EXPENDITURES REQUESTED "FOR DWR USE ONLY) kmount of this Partial Payment $ PAYMENT APPROVED: AUTHORIZED SIGNATURE DEPARTMENT OF WATER RESOURCES nternal Order or Program Cost Center No, PART C - TOTALS l lTotal this ~eriodic estimate 2 Total all prior 3eriodic estimates 3 Total periodic expend- tures to date (1+2 above) 4 Total retention this periodic estimate 5 Total retention all prior periodic estimates "6 Total retention to date’ (4+5 above) 7 DWR Contract Amount Date Paid 8 Claim No. 9 FOR DWR USE SURNAME Total funds obligated (3+6 above) Funds still available i(7-8 above) DWR 4135A (New 6/87)SUBMIT: Original and 3 copies to the Department of Water Resources INSTRUCTIONS FOR DWII 4135 A (To be filled out by the Public Agency for periodic payment) IRT A: Public Agency: The name should be identical to the name used in the contract with the Deparm~ent of Water Resources. Address and Telephone Number: Self-explanatory. DWR Contract Number: The number is on the contract. Periodic Estimate: Submit no more than one estimate per month. PART B: Expenditure Summary Budget Line Item Number: Corresponding to DWR 4135, Budget and Expenditure Summary. Attachment Nunaber: Numerically identify each attactnnent, corresponding to DWR 4135 C. Description: Identify the material, labor or item being billed. Indicate vendor’s name. Project Expenditure: The total dollar amount of the partial payment being requested by the contractor or vendor. State Funds Requested: The dollar amount of the project expenditure being requested this estimate. PART 1. 2. 3. 4. 5. 6. 7. 8. 9. C: Totals Total expenditures and State funds requested from the columns in Part B. Total all prior periodic estimates-DO NOT INCLUDE’THIS ESTIMATE. (See Item 3 on previous estimate.) Total of Items 1 and 2. Total retention this estimate. Total retention from a~l prior periodic estimates-DO NOT INCLUDE THIS ESTIMATE. (See Item 6 on previous estimate.) Total of Items 4 and 5. Loan amount from the contract NOT including the administrative fee. Total of Items 3 and 6. Funds still available-Item 7 minus Item 8. This amount MUST be equal to or greater than zero. DO NOT WRITE IN THE BLOCKS MARK_ED "FOR DWR USE". If additional space is required, use a second DWR 4135 A and identify it in the upper right hand comer. Total ONLY the last DWR 4135 A. INSTRUCTIONS FOR PARTIAL PAYMENT ESTIMATE, DWR 4135 C PART A: Self-explanatory. PART B: Contract Item: Unit: Identify each item by its basic description (each, square foot, linear foot, project, etc.). Quantity: The number ofm~its contracted. Unit Price: The price per unit. This Period: Quantity: Number of contracted units this period. Amount: Number of contracted unite this period X Unit Price. Total to Date: Quantity: Total units billed including this partial payment. Amount: Total quantity X Unit Price. PART C: 1. Amount earned: Total of"This Period" and "Total to Date" columns in Part B. 2. Amount retained: Self-explanatory. 3. Previous. payments: Self-explanatory. 4. Amount Due: 1 minus 2 and 3. Estimated Percentage and Progress Schedule: Self-explanatory and required on all contractor items. PART D: Part D, 1, 2, and 3 must be signed. Part D, 2 is always signed by a registered civil ~ngineer unless otherwise approved in writing by DWR...Part D, 3 is always signed .~ by the Public Agency. All signatures on original set af the estimate must be original signatures. Additional copies may be made from this set. Please subm the original and four copies of the entire estimate packpge to the Department of Water Resources, Bond Financing and Administratio P.O. Box 942836. Sacramento CA 94236-0001. DWR 4135A (PJack) (New 6/g7) GENERAL OBLIGATION LOANIGRANT PARTIAL PAYMENT ESTIMATE ART A ~me of Contractor: ame of Public AgencyNVa~er Co.Telephone No. Attachment No. of Periodic Estimate No.: DWR Contract No.: Proposition ¯ ate of Completion: )riginal :evised escription of Job: Amount of Contract:[bate of Estimate: Original $I From Revised $To ~ART B ITEM UNIT CONTRACTING QUANTITY *Original Items and change Orders Separately DWR 4135C (New 6t87) ITEMS THIS PERIOD AMOUNT TOTAL TO DATE UNIT PRICE QUANTITY QUANTITY AMOUNT ART C THIS ’PERIOD TOTAL TO DATE .mount Earned $ Jnt Retained $ ’revious Payments $ $,mount Due !stimated Percentage of Job Completed ~ART D $ ~$ XXXXXXXXXXXXXXXXXXX $ Is Contractor’s Construction Progress on Schedule? , Explain: L_] Yes UNo Certification of Contractor According to the best of my knowledge and belief, I certify that all items and amounts shown on the foregoing Periodic Estimate for Partial Payment are correct; that all work has been performed and/or material supplied in full accordance with the requirements of the referenced Contract, and/or duly authorized deviations, substitutions, alterations, andlor additions;’that the foregoing is a true and correct statement of the contract account up to and including the last day of the period covered by this Periodic Estimate; that no part of the "Balance Due this Payment" has been received, and that the undersigned and his subcontractors have complied with the nondiscrimination provisions of the Loan/Grant Contractor with the Department of Water Resources. By (Signature of Authorized Representative) ,20~Title Z. Certification of Engineer 3. Request I certify that l have checked and verified the foregoing Periodic Estimate for Partial Payment; that to.the best of my knowledge and belief it is a true and correct statement of work performed and/or material included in this Period Estimate has been inspected by me and/or by my duly authorized representative Or assistants and that it has been performed and/or supplied in full accordance with requirements of the referenced contract; and that partial payments claimed and requested by the contractor is correctly computed on the basis of work performed and/or material supplies to date. Signed (Registration Nurpber) Date: for Payment by Public Agency or Water Company The construction of the project is progressing satisfactorily, and to the best of my knowledge the amounts contained in the foregoing Periodic Estimate for Partial Payment are true and correct statements of actual costs incurred for work performed, and I hereby request payment of funds under the Bond Law provisions of the Water Code in the amount of $ for reimbursement of eligible project costs estimated above. {Authorized, Designated Signature) (Date) DWR 4135C (Back) (New 6/87) GENERAL OBLIGATION LOANIGRANT PARTIAL PAYMENT ESTIMATE ~ART A lame of Contractor: lame of Public Agency/Water Cd.Telephone No. Attachment No. of Periodic Estimate No.: DWR Contract No.: Proposition ’ )ate of CompleLion: :)riginal :~evised )escription of Job: Amount of Contract:IDate of Estimate: Original $I From Revised $To 3ART B ITEM * CONTRACTING ITEMS UNIT QUANTITY UNIT PRICE *Original Items and, change Orders Separately DWR 4135C (New6/87) THIS PERIOD QUANTITY AMOUNT TOTAL TO DATE QUANTITY AMOUNT THIS PERIOD TOTAL TO DATE ~,mount Earned ~nt Retained )revious Payments \mount Due $ $ $ Estimated Percentage of Job Completed t_J Yes PART D $ $ XXXXXXXXXXXXXXXXXXX $ lls Contractor’s Construction Progress on Schedule? * Explain: 1. Certification of Contractor According to the best of my knowledge and belief, I certify that all items and amounts shown on the foregoing Periodic Estimate for Partial Payment are correct; that all work has been performed and/or material supplied in full accordance wil~h the requirements of the referenced Contract, and/or duly authorized deviations, substitutions, alterations, and/or additions;’that the foregoing is a true and correct statement of the contract account up to and including the last day of the period covered by this Periodic Estimate; that no part of the "Balance Due this Payment" has been received, and that the undersigned and his subcontractors have complied with the nondiscrimination provisions of the Loan/Grant Contractor with the Department of Water Resources. By (Signature of Authorized Representative) ,20~Title 2. Certification of Engineer I certify that I have checked and verified the foregoing Periodic Estimate for Partial Payment; that to the best of my knowledge and belief it is a true and correct statement of work performed andlor material included in this Period Estimate has been inspected by me and/or by my duly authorized representative or assistants and that it has been performed and/or supplied in full accordance with requirements of the referenced contract; and that partial payments claimed and requested by the contractor is correctly computed on the basis of work performed and/or material supplies to date. Signed (Registration Number) Date: 3. Request for Payment by Public Agency or Water Company The construction of the project is progressing satisfactorily, and to the best of my knowledge the amounts contained in the foregoing Periodic Estimate for Partial Payment are true and correct statements of actual costs incurr.ed for work performed, and I hereby request payment of funds under the Bond Law provisions of the Water Code in the amount Of $ for reimbursement of eligible project costs estimated above. (Authorized, Designated Signature) (Date) DWR 4135C (Back) (New G/87’) -= ...... " GENERAL OBLIGATION LOANIGRA’NT PARTIAL PAYMENT ESTIMATE Attachment No. of Periodic Estimate No.: ~ART A ~ame of Contractor: ~ame of Public Agency/Wate~ Co.Telephone No. DWR Contract No.: Proposition )ale of Completion: 3riginal Revised bescription of Job: Amount of Contract:IDate of Estimate: Original $1 From Revised $To PART B ITEM UNIT *Original Items and cha~ge Orders Separately DWR 4135C (New 6/87) CONTRACTING ITEMS QUANTITY UNIT PRICE THIS PERIOD AMOUNT QUANTITYQUANTITY TOTAL TO DATE AMOUNT ART C mount Earned ’nt Retained revious Payments mount Due $ $ $ $ THiS PERIOD $ $ $ $ TOTALTO DATE XXXXXXXXXXXXXXXXXXX stimated Percentage of Job Completed Ils Contractor’s Construction Progress on Schedule?[~ Yes ~No % I* Explain: ’ART D Certification of Contractor According to the best of my knowledge and belief, I certify that all items and amounts shown on the foregoing Periodic Estimate for Partial Payment are correct; that all work has been performed and/or material supplied in full accordance with the requirements of the referenced Contract, and/or duly authorized deviations, substitutions, alterations, and/or additions;that the foregoing is a true and cqrrect statement of the contract account up to and including the last day of the period covered by this Periodic Estimate; that no part of the "Balance Due this Payment" has been received, and that the undersigned and his subcontractors have complied with the nondiscrimination provisions of the Loan/Grant Contractor with the Department of Water Resources. By (Signature of Authorized Representative) ,20~Title Certification of Engineer 1 certify that I have checked and verified the foregoing Periodic Estimate for Partial Payment; that to the best of my knowledge and belief it is a true and correct statement of work performed and/or material included in this Period Estimate has been inspected by me and/or by my duly authorized representative or assistants and that it has been performed and/or supplied in full accordance with requirements of the referenced contract; and that partial payments claimed and requested by the contractor is correctly computed on the basis of work performed and/or material supplies to date. Signed (Registration Number) Date: 3. Request for Payment by Public Agency or Water Company The construction of the project is progressing satisfactorily, and to the best of my knowledge the amounts contained in the foregoing Periodic Estimate for Partial Payment are true and correct statements of actual costs ¯ incurred for work performed, and I hereby request payment of funds under the Bond Law provisions of the Water Code in the amount of $ for reimbursement of eligible project costs estimated above. (Authorized, Designated Signature) DWR 41350 (Back) (New 6/87) U ~oO °EoE~" State of California Proposition Department of Water Resources Periodic Estimate for Partial Payment General Obligation Loan/Grant (See Instructions on Reverse Side) NAME OF PUBLIC AGENCY: XYZ WATER DISTRICT The Resources Agency Page~l of .1 SAMPLE ADDRESS: 1234 ANY STREET.,..ANYWHERE, CA 95814 TELEPHONE NO: .(41~) 4444-5555 DWR CONTRACT NO: FXXXXX PERIODIC ESTIMATE NO: 2 FORPERIOD JANUARY 1, 1986 TO JANUARY31, 1986 PART B - Expenditure Summary .~,udget Line Attachment tern No. INc. 1 1 2 2 3 3 3 4 4 5 (FOR DWR USE ONLY) Amount of this Partial Payment $. PAYMENT APPROVED: ...... PROJECT STATE FUNDS DESCRIPTION EXPENDITURES REQUESTED ABC ENGINEERING CONSULTANTS DEF LAW OFFICES GHI ENTERPRISES JKL, INC. MNO PIPELINE, INC. AUTHORIZED SIGNATURE DEPARTMENT OF WATER RESOURCES internal Order or Program Cost Center No. Date Paid Claim No. IFOR DWR USE PART O - TOTALS 1 Total this periodic estimate ’ 2 Total all prior ~efiodio estimates 3 TOtal pedodic expend- tures to date (1+2 above ,,, 4 Total retention this pedodlc estimate 5 Total retention all pdor periodic estimates 6 Total retention to date 3,130.43 160.00 428.00 2,856.23 146,048.86 .~52,623,52... 118,855.32 . 22!,478.84 15,262.35 11,885.53 (4+5 above)27,147.88 7 DWR Confcact Amount 8 Total funds obligated (3+6 above) 9 Funds still available 2,817.39 144.00 385.2O 2,570.61 131,443.97 $..137,361.!7 106,969.79 244,330.96 15,262.35 11,885.53 (7-8, above) 27,147.88 900,000.00 271,478.84 $ 628,521.16 ~’. Cciginal and 3 copies to the Department of’Water Resources INSTRUCTIONS FOR DWR 4135 A (To be filled out by the Public Agency for periodic payment) PAinT A: Public Agency: The name should’be identical to the name used in the contract with the Department of Water Resources. Address and Telephone Number: Self-explanatory, DWR Contract Number. The number is on the contract. Periodic Estimate: Submit no more than one estimate per month. PART B: Expenditure Summary Budget Line Item Number: Corresponding to DWR 4135, Budget and Expenditure Summary, Attachment N’umbe~ ". Numerically identify each attachment, corresponding to DWR 4135 C. Description: Identify the material, labor or item ’being billed. Indicate vendor’s name. Project Expenditure: The total dollar amount of the partial payment being requested by the contractor or vendor. State Funds Requested: The dollar amount of flue project expenditure being requested this estimate., PART C: I. Total 2. Total 3. Total 4. Total 5. Total 6. Total 7. Loan Totals expenditures and State funds requested from the columns in Part B. all prior periodic estimates -- DO NOT INCLUDE THIS ESTIMATE. (See Item on previous estimate.) of Items 1 and 2. retention this estimate. retention from all prior periodic estimates -- DO NOT INCLUDE THIS ESTIMATE. (See Item 6 on previous estimate.) of Items 4 and 5. amount from the contract NOT including the administrative fee. 8. Total of Items 3 and 6. 9. Funds still available -- Item 7 minus Item 8. This amount MUST be equal to or greater than zero. DO NOT WRITE.IN THE BLOCKS MARKED "FOR DWR USE". If additional space is required, use a second I)WR 4135 ~ ~ud identify it in ~he ul~per right hand corner. T~ml ONLY tt~e last DWR ~ 135 A. INSTRUCTIONS FOR PARTIAL PAYMENT ESTII~IATE, DWR 4135 C PART B: Contract I~em: Unit: Identify each item by its basic description (each, square foot, linear foot, project, etc.). Quantity: The number bf units contracted. Unit Price:- The price per unit. This Period: Quantity: Number of contracted unifs this period. Amount: Number of contracted’units this period X Unit Price. Total to Date: Quantity:’ Total Units billed including this partial payment. Amount: Total quantity X Unit Price. PART C: 1, Amount earned: Total of "This Period" and "Total to Date’.’ columns in Par~ B. 2. Amount~-etained: Self-explanatory. 3. Previous payments: Self-explanatory. 4. Amount Due: 1 minus 2 anda. Estimated Percentage and Progress Schedule~ Self-explanatory and required on all contractor items. PART D: Part D, 1, 2, and 3 must be signed. P art D, 2 is always signed by a registered civil engineer unless otherwise approved in writing by DWR~ P art D, 3 is always signed by the Public Agency. All signatures on original set of the" es~mate must be original signatures. Additional copies may be made from ~his set, Please shbmit the orighua] and four copies of the entre estimate package to the Department of Water Resources, P..O. Box 942836, Sacramento, CA 9423.6-0001. " State "of California DEPARTMENT OF WATER GENERAL OBLIGATION LOAN/GRANT PARTIAL PAYMENT ESTIMATE SAMPLE The Resources Agency Attachment No, 1 " of 5 Periodic Estimate No.: 2~ DWR.Contract No,: FXXXXX PART A Name of Contractor, ABC Engineering Consultants Name of Public Agency/Water Co. XYZ Water District Date of Completion: Original Revised Amount of Contract: Original $ Revised,$ Proposition ¯204 Telephone No. Date of Estimate: From 1/1/1986 To 1/31/1986 Descriplion of Job: PART B ITEM CONTRACTING ITEMS UNIT QUANTITY UNIT PRICE See Attached Summary of Invoices and Copy °f Inv°icesl I THIS PERIOD QUANTITY AMOUNT 3,130.43 (313.04) I 2,817.39 QUANTITY 10% Ret. TOTAL TO DATE AMOUNT 28,825.20 (288,25) 28,536.95 .*Original Items and change Orders Separately I~ART C Amount Earned Arl,,~unt Retained Previous Payments Amount Due $ $ $ $ THIS PERIOD 3,130.43 313.0~, 2,817.39 $ $ $ $ TOTAL TO DATE 28,825.20 2,882.52 23,125,29 2,817.39 Estimated Percentage of Job Completed Ils Contractor’s Construction Progress on Schedule?DYes r--’]No I% I* Explain: PART D 1. Certification of Cbntractor According to the best of my knowledge and belief, 1 certify that all items and.amounts shown on the foregoing Periodic Estimate for Padial Payment are correct; that all work has been performed and/or material supplied in full accordance with the requirements of the referenced Contract, and/or duly authorized deviations, substitutions, alterations, and/or additions; that the foregoing is a true and correct statement of the contract account up to and including the last day of the period covered by this Periodic Estimate; that no part of the "Balance Due this Payment" has been received, and that the undersigned and his subcontractors have complied with the nondiscrimination provisions of the Loan/Grant Contractor with the Department of Water Resources. (Slgn~’~m’of Au~hodzed Repreaentative) ,20~Title 2. Certification of Engineer I certify that I have checked and verified the foregoing Periodic Estimate for Partial Payment; that to the best of my knowledge and belief it is a true and correct statement of work performed and/or material included in this P~riod Estimate has been inspected by me andlor by my duly authorized represe.ntative or assistants and that it has been performed and/~r supplied in full accordance with requirements of the referenced contract;, and that partial payments claimed and requested by the contractor is correctly computed on the basis of work performed andlor matedal supplies to date, Signed (RegYs~ation Number) Date: 3. Request for Payment by Public Agency or Water Company The construction of the project is progressing satisfactorily, and to the best of my knowledge the amounts contained in ~he foregoing Pefio~iic Estimate for Partial Payment are true and correct statements of actual costs incurred for work performed, and I hereby request payment of funds under the Bond Law provisions of the Water Cbde in the amount of $ 2 817.39 for reimbursement of eligible project costs estimated above. (Authorized, De,.~gn~led Signature) SAMPLE Invoice Invo i c~ Data:Number: 1/10/86 3221 1/10/86 3222 i/i0/86 3223 1/10/86 3224 Engineering Fees: 2,090,00 25 5. O0 278. O0 209°00 2,832.00 In=iden~al $ 279.97 9.27 ;52 8.67 290.43 2,369.97 264.27 278.52 217.67 130.43 ABC ’ENGINF~RING CCNSC~TANTS (714) 684-6900 ’Invoice NO. 3221 Date F~brua i, 1986 BILLING PERXOD: From 1/1/86 to 1/31/8~6 ACCOU0. ~ _106-35.2 PROJECT: STATE LOAN DESIGN PROJECT GENERAL I.TEMS, CORRESPONDENCE General Design, Specification Preparation, and Related Work. Services - Office ~X Hours @ $Y ~*$ 1,044.00 ~X 5ours @ $Y ~"374.00 *X HOURS @ $Y ~*672.00 Incidental Exzenses $ 2,090.00 P<~ints.$159.15 ODvers, Binders, Dividers 30.60 UPS 30.46 ~he Sun-Telegram 59.76 TOTAL DUE $ 279.97 $ 279.9 7 2,369.97 .. (714) 684-4900 NO. 3222 Date Februar~ !, 1986 BILLING P~LIOD: Fr=m I/I/8~ to 1/31/86 Account 106-35.3 . ’ PROJECT : PANORAMA TIE,LINE Design and Drafting; Drafting Specification Exhibit for Project Sign. Services - Offic-~ ~X Hours @ $ Y ~ incidental Expenses Telephone Prints TOTAL DUE 46.00 209.00 $ 255.00 $ 9.27 $ 255.00 $ 9.27 $ 264.27 (714) NO. 3223 BILLING From , I/i/~ ~e 1/31/S6 PROJECT: STATE LOAN DESIGNPROJECT -PANORAMA PRF2~URE REDUCERS &HXDROPNEUMATIC TANK Drafting and Design. Services ~X Hours @ $ Y ’*$ 18.00 Hours @ $ Y ~253.00 Hours @ $ Y *"7.00 278. O0 Incidental ExPenses T~lephone $.12 .~rints .40 TOTAL DUE .52 $.52 $ 278.52 * X=number of hours *~ Y=hourly’ra~e A~C ~NGINEERING ~SUL~ANTS (714) 684-6900 SAMPLE NO. 3224 D~te Febr~a l, 1986 BILLING PEK~OD: Pr~ I/1/86 to 1/31/86 Account 106-35.5 PROJECT: STATE LOAN PROJECT-’TERRACE T!E-LINE Draftinc and Design. Ser-~ices ’ Office Hours @ $ Y $ 209°00 $ 209.00 incidental ExDens~es Prints TOTAL DUE 8.57 $8.67 $ 217.67 * X--numbe~ of hours¯ ** Y=hourly Fate State of California DEPARTMENT OF WATER RESOURCES GENERAL OBLIGATION LOAN/GRANT PARTIAL PAYMENT ESTIMATE The Resources Agency Attachment No. 2.2___of 5___ Periodic Estimate No.: ~ SAMPLE DWRContract No.: FXXXXX Proposition :204 PART A Name of Contractor:. DEF Law Offices Name of Public Agency/Water Co.Telephone No. XYZ .Water District Date of Completion:Date of Estimate: Original Revised Amount of Contract: Original $ Revised $ N/A From 1/1/1986 To 1/31/1986 Description of Job: PART B CONTRACTING ITEMS ITEM *UNIT QUANTITY UNIT PRICE See Attached Invoice ~ ’betas and c,5--ange Orders Separately 10% Retention THIS PERIOD QUANTITY AMOUNT N/A 160.00 (16.00) 144.00 TOTAL TO DATE QUANTfTY AMOUNT 475.00 (47,50) 4-27.50 PART C Amount Earned $ TOTAL TO DATE 475.00 ,-,mount Retained $47.50 Previou~ Payments $283.50 Amount Due $144.00 Estimated Pe~rcentage of Job Completed [--]Yes [~No PART D THIS PERIOD 160.00 $ 16.oo 144.00 $ Jls Contractor’S Construction Progress on Schedule? * Explai’n: 1. Certification of Contractor According to the best of my knowledge and belief; I cert~y that all Items and amounts shown on the foregoing Pedodic Estimate for Partial Payment are correct; that all work has been performed and/or matedal supplied in full accordance with the requirements of the referenced Contract, and/or duly authorized deviations, substitutions, alterations, and/or additions; that the foregoing is a true and correct statement of the contract account up to and including the last day of the period covered by this Pedodic Estimate; that no part of the "Balance Due this Payment" has been received, and that the undersigned and his subcontractors have complied with the nondiscrimination provisions of the LoanlGrant Contractor with the Department of Water Resources. t~lgnature.ef Authariz~d Represantalbe) 2. Certification of Engineer ,20~Title I certify that I have checked and verified the foregoing Periodic Estimate for Partial Payment; that to the best of my knowledge and belief it is a true and correct statement of work performed and/or material included in this Pedod Estimate has been inspected by me and/or by my duly authorized representative or assistants and that it has been performed and/or supplied in full accordance with requirements of the referenced contract; and that partial payments claimed and requested by the contractor is correctly computed on the basis of work pefforrned and/or material supplies to date. Signed (Rel~lstrat~on Number) Date: 3. Request for Payment by Public Agency or Water,Company The construction of the project is progressing satisfactorily, and to the best of my knowledge the amounts contained in the foregoing Pedodic Estimate for Partial Payment are true and correct statements.of actual costs incurred for work performed, and I hereby request payment of funds under the Bond Law provisions of the Water Code in the amount of $ 144,00 for reimbursement of eligible project costs estimated above. (Autho#zad, DeSignated Signature) :)WR4135C (Back)(New6/87) ..... Feb~arY I, 1986 PROFESSIONAL SERVICES AS FOLLC~S: 1/10/86 Preparation of four .letters (certi£ied mail) requesting ,Easement for new D~mestic Water Line. 1/29/86 ?reparation Of four letters (certified mai!) re proposed Right of Way Easemen£~in ~he vicinity of "S" R~ad.$80.00 State of California. DEPARTMENT OF WATER RESOURCES The Resour~s Agency GENERAL OBLIGATION LOANIGRANT PARTIAL PAYMENT ESTIMATE Attachment No. 3 of 5 Periodic Estimate No.: 2.2__ SAMPLE DWR. Contract No.: EXXXXX Proposition ¯204PART A Name of Conl~actor, GHI Enterprises Name of Public Agency/Water Co.Telephone No."- XYZ Water District Date of Completion: Original Revised Amount of Contract: .Original $ Revised $ N/A Date of Estimate: From To 111/1986, 1/3111986 Description of Job: PART B ITEM voice UNIT Each ’ Items and change Orders Separa~fy CONTRACTING ITEMS QUANTITY UNIT PRICE 200.00 2.14 THIS PERIOD QUANTITY 2O0 $ 10% Retention $ AMOUNT 428.00 (42.80) 385.20 QUANTITY TOTAL TO DATE AMOUNT 200 $428.00 .... .(42.80) $385.20 PART Amount Earned Amount Retained Previous Payments Amount Due Estimated Percentage of Job PART D THIS PFRIOD 428.00 42.80 $385.20 Completed Jis Contr.actor’s Construction Progress on Schedule? %l* Explain: TOTAL TO DATE 428.00 42.80 385.20 E~Yes ~No 1, Certification of Contractor According to the best of my knowledge and belief, I certify that all items and amounts shown on the foregoing Pedodic Estimate for Partial Payment are correct; that all work has been performed and/or material supplied in full. accordance with the requirements of the referenced Contract, and/or duly authorized deviations, substitutions, alterations, and/or additions; thai; the foregoing is a true and correct statement of the contract account up to and including the last day of the pedod covered by this Periodic Estimate; that no part of the "Balance Due this Payment" has been received, and that the undersigned and his subcontractors have complied vAth the nondiscrimination provisions of the Loan/Grant Contractorwith the Department of Water Resources. 2. Certification of ~ngineer By ,20~Title (Signature of Authorized Representefive) I certify that I have checked and verified the foregoing Periodic Estimate for Partial Payment; that to the best of my,knowled~ge and belief it is a true and correct statement of work performed and/or matedal included in this Pedod Estimate has been inspected by me and/or by my duly authorized representative or assistants and that it has been performed and/or supplied in full accordance with requirements of the referenced contract; and that partial pay~nents claimed and requested by the contractor is correctly computed on the basis ofw6rk performed and/or mateda] supplies to date. Signed Date: (Ragi~tral~on Number) 3. Request for .Paymenl~ by Public Agency or Water Company The construction of the project is progressing satisfactorily, and to the best of my knowledge the amounts contained in the foregoing Periodic Estimate for Partial Payment are true and correct statements of actual costs incurred for work performed, and I hereby request payment of funds under the Bond Law provisions of the Water Code in the amount of $ 385.20 for reimbursement of eliglble project.costs estimated above. (Authorized, De.~ignated Signatum) 3WR 412.~5C (3ack) (New 6187) BZLL!lqG PERIOD: ~RCkTECT: CUST~ PO NO met verbal ORDER’DATE 3 Jan 86 DATE SHIPPED 7 Jan 86 SALES~A!~ SS ROUTING Q~antity Quantity Remaining Ordered ShiDmed on Order Unit Amount COMPLETE WATER GUARD CONSF.RVATION KIT 200 ea 200 ea $2.14 each $42So00 (2 ."bile~ T~nk Lnserts, 2 Shower Plow Restrictons, 2 Leak ~etecters ’I~}~J~Ls: 30 clays INVOICE TOTAL State ef California PART A . Name of Contractor. JKL, INC. DEPARTMENT OF WATER RESOURCES GENERAL OBLIGATION LOAN/GRANT PARTIAL PAYMENT ESTIMATE SAMPLE "f:he Resources Agency Attachment No. 4_.___of Periodic Estimate No.: 2~ DWR’Contract No.: FXXXXX Proposition ¯204 Name ef Public Agency/Water Co. XYZ Water District Date of Completion: Odginal Revised Descfiptian of Job; Amount of Contract: Original $ Revised $ N/A Telept’ione No, baie of Estimate: From To 1/1/~986 1/31/1986 PART B ITEM lched quotation sheet) THIS PERIOD UNIT QUANTITY AMOUNT each CONTRACTING ITEMS QUANTITY UNIT PRICE 1 each L.S. t "~ ILems and change Orders Separately Complete $ 10% Retention $ 2,856.23 (285.62) 2,570.61 Complete TOTAL TO DATE QUANTITY AMOUNT $ $ 2,856.23 (285.6.2) 2,570.61 PART C .... aunt Earned $ Amount Retained $ Previous Payments $ Amount Due $ Estimated Percentage of Job Completed P,adRT D THIS PERIOD $ 2,856.23 285.62 2,570.61 $$ $ $ ~$ TOTAL TO DATE 2,856.23 285.62 2,570.61 Is Contractor’s Construction Progress on Schedule? Explain: ~--] Yes t. Certification of Contractor According to the best of my knowledge and belief, I certify that all items and amounts shown on the foregoing Periodic Estimate for Partial Payment are correct; that all work has been performed and/or material supplied in full accordance with the ~equirements of the referenced Contract, and/or duly authorized deviations, substitutions, alterations, and/or additions; lhat the foregoing is a true and correct statement of the contract account up to.and including the last day of the period covered by this Periodic Estimate; that no part of the "Balance Due this Payment" has been received, and that the undersigned and his subcontractors have complied with the nondiscrimination provisions of the Loan/Grant Contractor with the Department of Water Resources. 2. Certification of Engineer ,20~Title ( Ignalure of Authorized Represontat2w) I certify that I have checked and verified the foregoing Pedodic Estimate for Partial Payment; that to the best of my knowledge and belief it is a b’ue and correct statement of work performed and/or material included in this Period Estimate has been inspected by me and/or by my duly authorized representative or assistants and that it has been performed and/or supplied in full accordance with requirements of the referenced contract; and that partial payments claimed and requested by the contractor is correctly computed on the basis of work performed and/or matedalsupplies to date. Signed (Registrar)on Number) Date: Request for Payment by Public Agency or Water Company The construction of the project is progres¢ing satisfactorily, and to the best of my knowledge the amounts contained in the foregoing Pedodic Estimate for Partial Payment are true and correct statements of actual costs incurred for work performed, and I hereby request payment of funds under the Bond Law provisions of the Water Code in the amount of $ 2.570.61 for reimbursement of eligible proiect costs estimated above. (Authorized, De~ignmed ~igneLum) JKL, ABC ~ngineering C~nsul~an~s 123 Main Str~e~ Any Tc~n, CA Attention: RE: Q~o~ation on 20 HP Submersible Pump Gentlemen: Per your r~ques~ we are pleased to submit for your consideration the fol!o~ing quotation. Accerdingly, we offer: i Model : 20 HP Submersible Pump and Motor I00 Graham5’ TDH 250’ #8-3 Cable ! 12" x 3" x 4" We!l S~al 6%Sales Tax Freight $2,354.40 165.00 104.40 $2,623. SO 157.43 75. O0 $2,856.2~ Labor to instil assuming’ we have. to use the exia~ing pump is $650.00. Delivery can be made within lS working days. The bewl asse~bly quoted is a 10 s~age wi~h bronze in~pe.llers, s~inless steel shaft and cast iron bowla. JKL, INC~ .~ROJ ECT: Customer Order No. JKL, ~NC. ~QR Pumps 4505 ! 250~ 1 1 5a£e ~ i, !986 BILL~NG PERIOD: Prom To Account Order £ate Shipped Via . Date Shipped Terms 2249 System 99 1/15/86 Net 30 Days1/6/86 .Submersible Pump and Motor ~8-3 Cable 12" Well Sea! Delivery ~ales Tax $2,856.23 THANK YOU Job # 78-274 State’of Ca]ifernia GENERAL. OBLIGATION LOANIGRANT PARTIAL PAYMENT ESTIMATE SAMPLE The Resoumes Agency Attachment No. 5._~..~of 5___. Periodic Estimate No.: DWR Contract No.: FXXXXX PART A Name of Contractor. MNO Pipeline,’ Inc. Name of Public Agency/Water Co. XYZ Water District Date of Completion: Original Revised Amount of Contract: Odginal $ Revised $ N/A Proposition’ ’204 Telephone No. Date of Estimate: From 1/1/1986 To 1/31/1986 Description of Job: PART B CONTRACTING ITEMS THIS PERIOD TOTAL TO DATE QUANTITY UNIT PRICE QUANTITY AMOUNT QUANTITY AMOUNTITEM"UNIT See attached Contract Partial :Payment Request I 10% Retention $146,048.86 (14604.89) ...... $ ’131,443’.97 , $ 146,048,86 ...... (14604.89~_~ $ 131,443.97 *C~fginal Items and change Orders ,Separately TOTAL TO DATE Amount Earned $ $ 146,048.86 Amount Retained $14,604.89 Previous Payments $ Amount Due $.131,443.97 Estimated Percentage of Job Completed [--]YES P~TD THIS PERIOD $ 146,048.86 $ 14,604.89 $ ’ 131,443.97 $ tls ContractoCs Construction .Progress on Schedule? * Explain: E~ NO Certification of Contractor According to the best of my knowledge and belief, I certify that all items and amounts shown on the foregoing Periodic Estimate for Partial Payment are corre.ct; that all work has been performed and/or material supplied in full accordance with the requirements of the referenced Contract, and/or duly authorized deviations, substitutions, alterations, and/or additions; ¯ that the foregoing is a true and Correct statement of the contract account up to and including the last day of the period covered by this Periodic Estimate; that no part of the "Balance Due .this Payment" has been received, and that the undersigned and his subcontractors have .complied with the nondiscrimination provisions of the Loan/Grant Contractor with the Department of Water Resources. By ,20 "Title (Signature of Authorized RopresontBt~.) 2. Certification of Engineer I certify that I have checked and verified the foregoing Periodic Estimate for Partial Payment; that {o the best of my knowledge and belief it is a true and correct statement of work performed and/or material included in this Period Estimate has been inspected by me and/or by my duly authorized.representative or assistants and that ~ has been performed andlor supplied in’ full accordance with requirements of the referenced contract; and that par~iai payments claimed and requested by. the contractor is correctly computed on the basis of work performed.andlor material supplies to date. .Signed (Registration Number) Date: Request for Payment by Public Agency or Water Company The construction of the project is progressing satisfactorily, and to the best of my knowledge the amounts contained in the foregoing Periodic Estimate for Partial Payment are true and correct statements of actual costs incurred for work performed, and I hereby request payment of funds under the Bond Law provisions of the Water Code in the amount of $ 131 443.97 for reimbu, rsement of eligible project costs estimated above. (Authorized, Designated Signature) )W£ 4135C (Back)(New 6/~7) o